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Information

Other Names: Charles Eugene Layton III
Firm:
Type: Dual Registration
Description

Charles Layton is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Charles has held an industry securities registration for 48 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Charles Eugene Layton has not answered any questions on Financial Q&A.

Top Guides

Charles Eugene Layton has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
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.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 34 years, 10 months Jul 1979 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/17/2013, 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

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/17/2013
01/16/2013
*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

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 09/08/1993
Interest Rate Options Examination Series 5 12/12/1981
Uniform Securities Agent State Law Examination Series 63 12/01/1981
AMEX Put and Call Exam PC 05/02/1977
General Securities Principal Examination Series 00 03/21/1973
Registered Representative Examination Series 1 01/12/1966

Firm Compensation Arrangements

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Types of Compensation Arrangements

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