Charles Gordon Cooper

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

• 11/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 11/2009 → Present
  Bank Of America, N.A.
  Charlotte, NC

Previous Registrations

• 2008-08-19 → 2009-03-18
  Banc Of America Investment Services, Inc.
  Charlotte, NC
• 2008-06-11 → 2008-08-05
  Wells Fargo Clearing Services, Llc
  Charlotte, NC

Other Businesses

I*16183 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SC PHOTOGRAPHY LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1717 SUNNYBROOK DR, ROCK HILL, SOUTH CAROLINA 29730 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 5/1/2009 NUMBER OF HOURS DEVOTED: 25 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OWNER/PHOTOGRAPHER SOLE PROPRIETORSHIP

Exams

• S66 Uniform Combined State Law Examination
  2007-05-22
• S63 Uniform Securities Agent State Law Examination
  2005-09-23

Other Names

• Pj Cooper