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Charles R. Northrup

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Wakefield, MA

Boston, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-11
CT RA APPROVED 2009-11-16
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • CT RA
    APPROVED
    Since 2009-11-16

Branch Locations

Wakefield, MA • United States

100 Federal St, Boston, MA 02110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 10/2009 Present
Previous Registrations
  • 2005-03-25 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Boston, MA
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-18
S63 Uniform Securities Agent State Law Examination 1999-12-14
  • S65 Uniform Investment Adviser Law Examination
    2004-10-18
  • S63 Uniform Securities Agent State Law Examination
    1999-12-14

View on SEC IAPD

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