Charles H. Wharton
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 Henry Wharton was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2009 - May 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 14, 2009 - May 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - August 26, 2009
UBS FINANCIAL SERVICES INC.
March 28, 1994 - August 26, 2009
UBS FINANCIAL SERVICES INC.
January 26, 1981 - February 17, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - February 23, 1981
UBS FINANCIAL SERVICES INC.
November 28, 1972 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 14, 1972 - December 23, 1972
MICHAEL INVESTMENT CO INC
January 13, 1971 - May 17, 1972
TUCKER ANTHONY INCORPORATED
December 3, 1969 - April 25, 1971
GOODBODY & CO. INCORPORATED
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 15
Date: 11/30/1984
Foreign Currency Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 11/26/1969
General Securities Principal ExaminationSeries 1
Date: 11/26/1969
Registered 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.
