Charles Robert Pollack

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19

NY RA
APPROVED

Since 2021-04-19

Branch Locations

360 Hamilton Ave, White Plains, NY 10601 • United States

Armonk, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691	White Plains	NY	12/2008	Present
Bank Of America, Na	White Plains	NY	12/2009	Present

12/2008 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

White Plains, NY
12/2009 → Present

Bank Of America, Na

White Plains, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-11-26
S63	Uniform Securities Agent State Law Examination	1988-07-28

S65 Uniform Investment Adviser Law Examination

1996-11-26
S63 Uniform Securities Agent State Law Examination

1988-07-28

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

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