Stuart Charlton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stuart Charlton, who also goes by Stuart Edward Charlton, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1985. Stuart had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2011 - January 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2011 - January 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 2009 - January 12, 2011
TD AMERITRADE, INC.
November 23, 2009 - January 12, 2011
TD AMERITRADE, INC.
November 23, 2009 - January 12, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 3, 2008 - September 24, 2009
WELLS FARGO INVESTMENTS, LLC
February 29, 2008 - September 24, 2009
WELLS FARGO INVESTMENTS, LLC
September 12, 2005 - March 4, 2008
WAMU INVESTMENTS, INC.
September 12, 2005 - March 4, 2008
WAMU INVESTMENTS, INC.
May 7, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
March 30, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
July 12, 1999 - April 2, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 18, 1992 - July 12, 1999
BA INVESTMENT SERVICES, INC.
April 5, 1991 - October 1, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 28, 1990 - December 20, 1990
DEL MAR SECURITIES, INC.
April 9, 1987 - August 12, 1989
CHARLES SCHWAB & CO., INC.
September 25, 1985 - January 9, 1987
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
