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Charles Crompton Heaton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Norfolk, VA

Virginia Beach, VA

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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 2012-10-15
VA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-15
  • VA RA
    APPROVED
    Since 2009-10-23

Branch Locations

999 Waterside Dr, Norfolk, VA 23510 • United States

Virginia Beach, VA • 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 Virginia Beach VA 10/2009 Present
Bank Of America,N.A. Norfolk VA 06/2011 Present
Previous Registrations
  • 2007-03-16 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Virginia Beach, VA
  • 2002-11-27 → 2007-03-28
    Ubs Financial Services Inc.
    Virginia Beach, VA
    Virginia Beach, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-26
  • S66 Uniform Combined State Law Examination
    2002-11-26
Other Names
  • Charles C Heaton

View on SEC IAPD

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