Charles C. Merrill
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.
Charles Clement Merrill, who also goes by Charles C Merrill, Charles Clement Merrill, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 4 firms and has passed the Series 63, Series 65, SIE 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
March 28, 2017 - May 30, 2017
CITI PRIVATE ALTERNATIVES, LLC
August 4, 2011 - December 21, 2017
CITIGROUP GLOBAL MARKETS INC.
February 21, 2003 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 30, 2003 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 19, 2002 - July 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2002 - July 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2001 - February 26, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2000 - January 24, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1998 - October 24, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CITI PRIVATE ALTERNATIVES, LLC
CRD#: 153777 / SEC#: 801-71561, 8-69789
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP INVESTMENT PARTNERS | MEMBER | |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (FINOP) | 1584619 |
| DE ANDRADE, ROBERTO CARLOS | MANAGER | 5841299 |
| JEAN-BAPTISTE, ALEX | CHIEF COMPLIANCE OFFICER | 6828963 |
| ODONNELL, DANIEL GLENN | MANAGER | 3160132 |
| ODONNELL, NIALL | PRINCIPAL OPERATIONS OFFICER | 6830897 |
| REMAK, MICHAEL DAVID | CEO/MANAGER | 2914374 |
Regulatory assets under management
| Total Number of Accounts | 183 |
| AUM (Assets Under Management) | $ 18,347,749,864 |
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.
