Charles G Gaba

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Vienna, VA

Previous Registrations

• 2009-06-01 → 2012-05-02
  Morgan Stanley
  Vienna, VA
  Reston, VA
  Mclean, VA
• 2008-07-10 → 2009-06-01
  Morgan Stanley & Co. Llc
  Vienna, VA
• 2004-09-14 → 2008-04-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Washington, DC
  Vienna, VA
  Washington, DC

Other Businesses

I*3316269 Entity Type: Charitable Name of OBA: Little Rock Chamber of Commerce Address: Little Rock, Arkansas, 72201 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 02/04/2026 Number of Hours: 30, Yearly Number of Hours during trading: 12, Yearly Duties: Regional economic development, community development, and advocacy. Regularly attend board meetings and review and discuss key initiatives of the Chamber

Exams

• S66 Uniform Combined State Law Examination
  2004-09-13
• S63 Uniform Securities Agent State Law Examination
  1998-03-17

Other Names

• Charles George Ennis Gaba
• Charles George Gaba
• Charles George Ennis Gaba