Charles F Spingler

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

• 03/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 05/2011 → 12/2019
  Self Employed
  Mahwah, NJ
• 08/2015 → Present
  New York Red Bulls
  Harrison, NJ
• 06/2020 → Present
  Bank Of America N.A.
  New York, NY

Previous Registrations

• 2009-09-18 → 2011-04-20
  Equitable Advisors, Llc
  New York, NY
• 2007-09-10 → 2008-12-17
  Alliancebernstein L.P.
  Nashville, TN

Other Businesses

I*: 2469300 Entity Type: Fiduciary role Name of OBA: C. (S.) S. Address: Montclair, NJ 07042 Investment Related: No Position, Title, Association: Executor Employee Start Date: 06/01/2025 Number of Hours: 100 hrs annually Number of Hours during trading: 0 Duties: Executor for parents

Exams

• S66 Uniform Combined State Law Examination
  2021-01-04

Other Names

• Charles Spingler
• Charles Francis Spingler