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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

CHRIS WILLIAM VINCENT

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:75e19bfb-d3aa-38ee-fec7-1769ab934ab0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2004 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: Jun 29, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jun 29, 2004
First registration: Jun 30, 2004
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER WILLIAM VINCENT|CHRIS VINCENT
IAPD individual key: 4706587

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	Jul 12, 2011	n/a	yes	LITTLE ROCK, AR	Current employment
TRENT CAPITAL MANAGEMENT, INC.	Former SEC adviser	Nov 9, 2009	Jun 24, 2011	no	LITTLE ROCK, AR	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 4, 2004	Mar 6, 2008	no	LITTLE ROCK, AR\|LITTLE ROCK, AR	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 30, 2004	Oct 11, 2004	no	LITTLE ROCK, AR	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
TRENT CAPITAL MANAGEMENT, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 24, 2011	Jul 12, 2011	18	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TRENT CAPITAL MANAGEMENT, INC.	Mar 6, 2008	Nov 9, 2009	613	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 11, 2004	Oct 4, 2004	-7	Firm change	Ibd to wirehouse

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 4, 2004 to Mar 6, 2008factForm ADV
→ TRENT CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 9, 2009 to Jun 24, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 30, 2004 to Oct 11, 2004factForm ADV

Dated events

No dated event names this entity yet.