Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Vincent is an investment advisor representative who has been in the industry since 2004. Chris holds a Series 63, 66, and 7 license. Chris currently works at Merrill Lynch, Pierce, Fenner & Smith Inc., and has held previous roles at AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Chris is registered in 44 states and 2 jurisdictions for investment advisory services. Chris specializes in providing investment advice to individuals, corporations, and other businesses. Chris is also an adjunct professor at John Brown University.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AR
05/01/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LITTLE ROCK AR)
AR
10/04/2004 - 03/06/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
MN
06/08/2004 - 10/11/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/08/2004 - 10/11/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 08/20/2011
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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