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Christopher Welfley

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Christopher Welfley

Christopher Welfley is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Christopher has been in the securities industry since December 2002 and is registered in New York and Texas. Christopher has experience with various financial firms including Key Investment Services LLC, Banc of America Investment Services, Inc., Quick & Reilly, Inc., and American Express Financial Advisors Inc. Christopher holds the Series 7, Series 65, and Series 66 licenses. Christopher specializes in portfolio management for businesses and individuals.

Firm Information

Christopher Welfley is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Christopher Welfley’s Registration & Firm History

NY

07/31/2022 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (LATHAM NY)

NY

06/12/2007 - 10/06/2014

KEY INVESTMENT SERVICES LLC (CLIFTON PARK NY)

NY

02/21/2007 - 06/08/2007

BANC OF AMERICA INVESTMENT SERVICES, INC. (LATHAM NY)

MA

10/20/2004 - 08/23/2005

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

12/15/2003 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

MN

10/15/2003 - 12/12/2003

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

10/15/2003 - 12/12/2003

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

MN

12/13/2002 - 05/05/2003

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

12/13/2002 - 05/05/2003

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

MN

11/08/2000 - 09/24/2002

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

11/08/2000 - 09/24/2002

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 07/23/2004

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 11/22/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/07/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Christopher Welfley. Review regulatory record here.
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