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Charles David Brown

Other Names: David Brown
Firm:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Type: Dual Registration
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Description

Charles Brown a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Charles has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Charles David Brown has not answered any questions on Financial Q&A.

Top Guides

Charles David Brown has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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

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

Experience and Employment History

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Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 31 years, 4 months Jan 1982 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/26/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
08/26/2010
06/15/2012
*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.

Advisor Exams

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Exam Series Passed Date
Futures Managed Funds Examination Series 31 09/23/2004
General Securities Sales Supervisor - General Module Examination Series 10 02/24/2003
General Securities Sales Supervisor - Options Module Examination Series 9 01/22/2003
Uniform Investment Adviser Law Examination Series 65 07/24/2002
Interest Rate Options Examination Series 5 04/27/1982
Uniform Securities Agent State Law Examination Series 63 04/02/1982
General Securities Representative Examination Series 7 03/20/1982

Firm Compensation Arrangements

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Types of Compensation Arrangements

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