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Detailed Report
CHRISTOPHER LEU
CHRISTOPHER C LEU
CRD#: 3093452
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 520 NEWPORT CENTER DR
NEWPORT BEACH, CA 92660
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)
License(s)

State Registrations

B
Arizona 7/10/2024
B
Nevada 12/10/2012
B
California 12/10/2012
B
New York 11/1/2018
IA
California 12/11/2012
B
North Carolina 1/5/2023
B
District of Columbia 2/21/2024
B
Oregon 4/26/2022
B
Georgia 2/3/2023
IA
Texas 12/11/2012
B
Illinois 7/9/2019
B
Texas 4/6/2018
B
Maryland 10/23/2019
B
Utah 7/30/2020
B
Massachusetts 3/23/2021
B
Washington 2/7/2023
B
Michigan 1/30/2018

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 12/11/2012
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
520 NEWPORT CENTER DR, NEWPORT BEACH, CA 92660
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 12/10/2012
Previous Registration(s)
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 11/23/2010 - 12/19/2012 MORGAN STANLEY (CRD#:149777) SANTA ANA, CA
B
 10/27/2010 - 12/19/2012 MORGAN STANLEY (CRD#:149777) SANTA ANA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.