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Detailed Report
KRISTOPHER ALEXANDER MARLIS
KRISTOPHER MARLIS, Kris Marlis, Kristopher A Marlis
CRD#: 5494473
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 N19 W24400 RIVERWOOD DR
WAUKESHA, WI 53188
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2017 (6 years)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - Present (7 years)
License(s)

State Registrations

B
Alabama 3/14/2018
B
Montana 3/19/2018
B
Alaska 4/2/2018
B
Nebraska 7/1/2020
B
Arizona 3/14/2018
B
Nevada 6/3/2019
B
Arkansas 3/14/2018
B
New Hampshire 3/14/2018
B
California 3/14/2018
B
New Jersey 3/19/2018
B
Colorado 3/19/2018
B
New Mexico 3/19/2018
B
Connecticut 3/14/2018
B
New York 3/14/2018
B
Florida 3/14/2018
B
North Carolina 3/14/2018
B
Georgia 3/19/2018
B
Ohio 3/19/2018
B
Hawaii 3/14/2018
B
Oregon 3/19/2018
B
Idaho 3/19/2018
B
Pennsylvania 3/14/2018
B
Illinois 3/14/2018
B
Rhode Island 3/19/2018
B
Indiana 3/14/2018
B
South Carolina 3/14/2018
B
Iowa 3/19/2018
B
Tennessee 3/14/2018
B
Kansas 5/3/2021
B
Texas 3/14/2018
B
Kentucky 3/19/2018
IA
Texas 3/14/2018
B
Maine 3/14/2018
B
Utah 3/19/2018
B
Maryland 7/5/2019
B
Vermont 3/27/2018
B
Massachusetts 3/14/2018
B
Virginia 3/14/2018
B
Michigan 3/14/2018
B
Washington 3/14/2018
B
Minnesota 3/14/2018
B
Wisconsin 3/6/2018
B
Mississippi 3/14/2018
IA
Wisconsin 3/6/2018
B
Missouri 3/14/2018
B
Wyoming 7/5/2019

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)
N19 W24400 RIVERWOOD DR, WAUKESHA, WI 53188
Registered with this firm since 3/6/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
N19 W24400 RIVERWOOD DR, WAUKESHA, WI 53188
Registered with this firm since 3/6/2018
Previous Registration(s)
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IA
 03/20/2017 - 02/27/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WAUKESHA, WI
B
 03/20/2017 - 02/27/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WAUKESHA, WI
IA
 11/16/2010 - 03/10/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAUKESHA, WI
B
 11/03/2010 - 03/10/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WAUKESHA, WI
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.