Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Ashby is a financial professional with over 20 years of experience in the industry. Christopher is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in New Jersey and Texas. Christopher has a strong background in providing investment advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Christopher has held previous positions with NYLIFE Securities LLC, Morgan Stanley & Co. Incorporated, and Pershing LLC. Christopher holds a variety of licenses and certifications, including Series 7, 63, 66, 9, 10, 24, and 4.
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
NJ
07/26/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
05/25/2010 - 01/20/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
NJ
11/09/2009 - 04/15/2010
NYLIFE SECURITIES LLC (EDISON NJ)
NY
05/24/2004 - 02/13/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NJ
08/30/2000 - 05/27/2004
PERSHING LLC (JERSEY CITY NJ)
BOTH
Issued 08/02/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2014
Series 24 - General Securities Principal Examination
BC
Issued 07/13/2013
Series 4 - Registered Options Principal Examination
BC
Issued 12/19/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/05/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2000
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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