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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Christopher Joseph Crock

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ATLANTA, GA

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Search this name across graphsid dfx:ria:2855e586-2c6d-2856-5c45-d37b58078eaa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 15, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 26, 2009
First registration: Dec 15, 2009
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER J CROCK|Chris Crock|Christopher Crock
IAPD individual key: 5618048

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 6, 2018	n/a	yes	ATLANTA, GA	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Mar 5, 2015	Dec 6, 2016	no	ALPHARETTA, GA\|ALPHARETTA, GA\|ALPHARETTA, GA\|ALPHARETTA, GA\|SUWANEE, GA\|ROSWELL, GA\|Roswell, GA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 8, 2011	Feb 26, 2015	no	ATLANTA, GA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Dec 15, 2009	Nov 8, 2011	no	PEACHTREE COR, GA\|ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PNC WEALTH MANAGEMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 6, 2016	Feb 6, 2018	427	Firm change after gap	Other
LPL FINANCIAL LLC	PNC WEALTH MANAGEMENT	Feb 26, 2015	Mar 5, 2015	7	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	LPL FINANCIAL LLC	Nov 8, 2011	Dec 8, 2011	30	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Feb 6, 2018 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 5, 2015 to Dec 6, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 8, 2011 to Feb 26, 2015factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Dec 15, 2009 to Nov 8, 2011factForm ADV

Dated events

No dated event names this entity yet.