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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

Christopher L. Williams

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHICAGO, IL

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Search this name across graphsid dfx:ria:dbdd4dbe-efa4-2474-1886-4d5382591687

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2001 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: Aug 4, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S66|S63
First exam: Aug 4, 1983
First registration: Jul 6, 2001
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER L WILLIAMS|CHRIS WILLIAMS|Christopher Lee Williams
IAPD individual key: 1157162

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	Sep 25, 2023	n/a	yes	CHICAGO, IL	Current employment
OAK RIDGE INVESTMENTS, LLC	Independent wealth	Jul 27, 2012	Oct 3, 2014	no	CHICAGO, IL	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jun 28, 2010	Jul 12, 2012	no	CHICAGO, IL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Mar 14, 2007	Jul 16, 2010	no	NORTHBROOK, IL\|CHICAGO, IL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 28, 2003	Mar 2, 2007	no	CHICAGO, IL\|WINNETKA, IL\|HINSDALE, IL\|CHICAGO, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 6, 2001	Aug 26, 2003	no	BURNSVILLE, MN	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
OAK RIDGE INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 3, 2014	Sep 25, 2023	3,279	Firm change after gap	Other
BARCLAYS CAPITAL INC.	OAK RIDGE INVESTMENTS, LLC	Jul 12, 2012	Jul 27, 2012	15	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	BARCLAYS CAPITAL INC.	Jul 16, 2010	Jun 28, 2010	-18	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	CREDIT SUISSE SECURITIES (USA) LLC	Mar 2, 2007	Mar 14, 2007	12	Firm change	Other
MORGAN STANLEY DW INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Aug 26, 2003	Aug 28, 2003	2	Firm change	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Sep 25, 2023 to presentfactForm ADV
→ OAK RIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 27, 2012 to Oct 3, 2014factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jun 28, 2010 to Jul 12, 2012factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Mar 14, 2007 to Jul 16, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 28, 2003 to Mar 2, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 6, 2001 to Aug 26, 2003factForm ADV

Dated events

No dated event names this entity yet.