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Charles J Sailor

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-08-31
TX RA APPROVED_RES 2019-02-11
CA RA APPROVED 2018-07-25
  • NJ RA
    APPROVED
    Since 2026-08-31
  • TX RA
    APPROVED_RES
    Since 2019-02-11
  • CA RA
    APPROVED
    Since 2018-07-25

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Rancho Cucamonga CA 06/2015 07/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 07/2018 Present
Bank Of America, N.A. Pasadena CA 08/2018 Present
Previous Registrations
  • 2015-07-08 → 2018-08-10
    Td Ameritrade, Inc.
    Upland, CA
  • 2015-07-08 → 2018-08-10
    Td Ameritrade Investment Management, Llc
    Rancho Cucamonga, CA
  • 2013-09-09 → 2015-07-09
    Morgan Stanley
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-06
  • S66 Uniform Combined State Law Examination
    2013-09-06
Other Names
  • Charles Jessie Sailor
  • Charles J Sailor

View on SEC IAPD

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