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Charles Eugene Layton

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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 broker-dealer with over 32,300 registered representatives nationwide. Charles has held an industry securities registration for 45 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 35 years, 4 months Jul 1979 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/08/1993
Interest Rate Options ExaminationSeries 5 12/12/1981
Uniform Securities Agent State Law ExaminationSeries 63 12/01/1981
AMEX Put and Call ExamPC 05/02/1977
General Securities Principal ExaminationSeries 00 03/21/1973
Registered Representative ExaminationSeries 1 01/12/1966

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/03/2014
06/03/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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