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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher McCauley is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Christopher has been in the securities industry since 2001. Christopher holds the Series 66, Series 7 and SIE licenses and is registered in 24 states. Previously, Christopher worked at BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., WADDELL & REED, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC. and IDS LIFE INSURANCE COMPANY. Christopher has worked in several locations including Burlington, MA, New York, NY, Overland Park, KS and Minneapolis, MN. Christopher is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. and specializes in investment companies, corporations or other businesses, individuals other than high net worth, pension and profit-sharing plans and charitable organizations.
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
MA
11/06/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BURLINGTON MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BURLINGTON MA)
NY
10/30/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
KS
11/02/2001 - 10/30/2003
WADDELL & REED, INC. (OVERLAND PARK KS)
MN
09/07/2001 - 10/18/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/07/2001 - 10/18/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/12/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2001
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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