Individual Firm
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Christopher ALAN Moore
CHRIS MOORE, CHRISTOPHER A MOORE
CRD#: 1232109
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1241 PITTSFORD VICTOR RD
PITTSFORD, NY 14534
PITTSFORD, NY 14534
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12/18/2008
Customer Dispute
Withdrawn
State Registrations
B
Arizona 2/22/2006
B
New Jersey 4/12/1996
B
California 3/19/1993
B
New York 8/4/1992
B
Colorado 3/13/2000
IA
New York 4/19/2021
B
Connecticut 7/7/1995
B
North Carolina 8/28/1996
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Connecticut 11/12/2018
B
Ohio 1/2/2014
B
Delaware 8/14/2020
B
Pennsylvania 2/8/1995
B
Florida 12/1/1994
B
Rhode Island 4/29/2020
B
Georgia 12/9/2003
B
South Carolina 3/19/1998
B
Illinois 12/14/2018
B
Tennessee 2/2/2023
B
Indiana 2/15/2023
B
Texas 7/20/2018
B
Maryland 2/8/1995
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Texas 11/9/2018
B
Massachusetts 9/4/1992
B
Vermont 11/27/1996
B
Michigan 11/19/1999
B
Virginia 12/7/1992
B
Nevada 1/16/2008
B
Washington 1/2/2014
B
New Hampshire 1/12/2015
B
Wisconsin 11/19/2020
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 11/9/2018
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Registered with this firm since 7/31/1991
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/12/2003 - 01/19/2005 | ROCHESTER, NY | |
B | 03/22/1984 - 01/07/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.