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CHRIS PINA
CHRISTOPHER ROBERTS PINA, CHRISTOPHER PINA
CRD#: 4140087
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1100 E 6600 S
SALT LAKE CITY, UT 84121
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2003 - 2006 (3 years)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2011 - Present (13 years)
Disclosure(s)
View By:
3/21/2016
Financial
Final
3/21/2016
Financial
Final
License(s)

State Registrations

B
Alabama 12/11/2017

B
Nevada 6/3/2011

B
Alaska 12/13/2017

B
New Hampshire 6/3/2011

B
Arizona 6/3/2011

B
New Jersey 12/8/2017

B
Arkansas 12/8/2017

B
New Mexico 6/3/2011

B
California 6/3/2011

B
New York 6/3/2011

B
Colorado 6/3/2011

B
North Carolina 1/13/2017

B
Connecticut 5/30/2017

B
North Dakota 12/11/2017

B
Delaware 6/3/2011

B
Ohio 12/8/2017

B
District of Columbia 12/11/2017

B
Oklahoma 12/11/2017

B
Florida 6/3/2011

B
Oregon 3/5/2015

B
Georgia 6/3/2011

B
Pennsylvania 6/3/2011

B
Hawaii 12/8/2017

B
Puerto Rico 8/20/2024

B
Idaho 12/8/2017

B
Rhode Island 12/15/2017

B
Illinois 12/8/2017

B
South Carolina 6/3/2011

B
Indiana 12/8/2017

B
South Dakota 3/4/2016

B
Iowa 12/18/2017

B
Tennessee 12/11/2017

B
Kansas 6/3/2011

B
Texas 6/3/2011

B
Kentucky 1/2/2018

IA
Texas 10/17/2014

B
Louisiana 8/11/2015

B
Utah 4/11/2011

B
Maine 12/11/2017

IA
Utah 4/11/2011

B
Maryland 12/11/2017

B
Vermont 6/3/2011

B
Massachusetts 6/3/2011

B
Virgin Islands 8/6/2024

B
Michigan 12/13/2017

B
Virginia 6/3/2011

B
Minnesota 6/3/2011

B
Washington 6/3/2011

B
Mississippi 12/11/2017

B
West Virginia 6/3/2011

B
Missouri 6/3/2011

B
Wisconsin 12/11/2017

B
Montana 6/3/2011

B
Wyoming 6/3/2011

B
Nebraska 5/27/2011

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)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1100 E 6600 S, SALT LAKE CITY, UT 84121
South Jordan, UT
Registered with this firm since 4/11/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1100 E 6600 S, SALT LAKE CITY, UT 84121
South Jordan, UT
Registered with this firm since 2/28/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/08/2006 - 02/09/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM DESERT, CA
B
09/08/2006 - 02/09/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PALM DESERT, CA
IA
03/18/2003 - 09/13/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) INDIAN WELLS, CA
B
03/25/2003 - 09/13/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) INDIAN WELLS, CA
IA
10/12/2000 - 08/08/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PALM SPRINGS, CA
B
07/20/2000 - 08/08/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
IA
Investment Adviser
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.