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Detailed Report
CHRISTOPHER COSTA
CHRISTOPHER R COSTA, CHRISTOPHER ROBERT COSTA
CRD#: 5638743
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 401 E LAS OLAS BLVD
FORT LAUDERDALE, FL 33301
Registration History
2010201220142016201820202022202420262 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2021 - 2022 (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2018 - 2021 (3 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2009 - 2010 (<1 year)
License(s)

State Registrations

B
Alabama 12/4/2024
B
New Jersey 12/4/2024
B
Connecticut 12/4/2024
B
New York 12/4/2024
B
Florida 12/2/2024
B
Pennsylvania 12/4/2024
IA
Florida 12/3/2024
B
Texas 12/4/2024
B
Georgia 12/4/2024
IA
Texas 12/18/2024
B
Massachusetts 12/4/2024

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)
401 E LAS OLAS BLVD, FORT LAUDERDALE, FL 33301
Registered with this firm since 12/3/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
401 E LAS OLAS BLVD, FORT LAUDERDALE, FL 33301
Registered with this firm since 12/2/2024
Previous Registration(s)
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IA
 04/20/2023 - 11/11/2024 MORGAN STANLEY (CRD#:149777) MIAMI BEACH, FL
B
 04/20/2023 - 11/11/2024 MORGAN STANLEY (CRD#:149777) MIAMI BEACH, FL
IA
 10/11/2022 - 04/06/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WELLINGTON, FL
B
 09/12/2022 - 04/06/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WELLINGTON, FL
B
 11/05/2021 - 07/30/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Ambler, PA
B
 08/21/2018 - 09/09/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TREVOSE, PA
B
 06/08/2009 - 05/21/2010 PRUCO SECURITIES, LLC. (CRD#:5685) STATE COLLEGE, PA
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.