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Charles John Terrazas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mill Valley, 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
TX RA APPROVED_RES 2012-10-10
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-10-10
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

2 Belvedere Pl, Mill Valley, CA 94941 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 10/2009 Present
Bank Of America, N.A. San Francisco CA 10/2009 Present
Previous Registrations
  • 2005-10-21 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
  • 2003-04-21 → 2005-10-25
    Wells Fargo Investments, Llc
    Greenbrae, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-10-28
S63 Uniform Securities Agent State Law Examination 1993-09-03
  • S65 Uniform Investment Adviser Law Examination
    2003-10-28
  • S63 Uniform Securities Agent State Law Examination
    1993-09-03
Other Names
  • Charles Terrazas
  • Chuck Terrazas

View on SEC IAPD

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Other Offices

PRIVATE WEALTH PARTNERS, LLC · MILL VALLEY, CA
DIPSEA CAPITAL, LLC · MILL VALLEY, CA
OSAIC WEALTH, INC. · Mill Valley, CA
SCHMITZ CAPITAL PARTNERS, LLC · MILL VALLEY, CA
BAYHUNT CAPITAL LLC · MILL VALLEY, CA
BOLDIN ADVISORS · MILL VALLEY, CA
URBAN INVESTMENT ADVISORS · MILL VALLEY, CA
COMMONWEALTH FINANCIAL NETWORK · Mill Valley, CA

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