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Christopher L Clapp

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Other Names: Chris Clapp, Christopher Clapp, Christopher Leigh Clapp
Type: SEC and FINRA Registered

Christopher Clapp is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 32,500 registered representatives nationwide. Christopher has held an industry securities registration for 18 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Bank of America,Na 5 years, 11 months Dec 2009 - Present
Merrill Lynch 8 years Nov 2007 - Present
The Advisors Group, Inc. 9 years, 11 months Dec 1997 - Nov 2007
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 05/22/2009
Uniform Combined State Law ExaminationSeries 66 03/13/2008
General Securities Representative ExaminationSeries 7 02/01/2008
Uniform Securities Agent State Law ExaminationSeries 63 01/25/1990
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 01/25/1990

Answers and Articles

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Top Answers

Christopher L Clapp has not answered any questions on Financial Q&A.

Top Articles

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*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions