Charles Lewis

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-08-04
CA	RA	APPROVED	2023-08-03

TX RA
APPROVED_RES

Since 2023-08-04
CA RA
APPROVED

Since 2023-08-03

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

901 Via Piemonte, Ontario, CA 91764 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	10/2017	Present
Certified Direct Solutions	Ontario	CA	04/2016	10/2017
Quick Debt Services Llc	Rancho Cucamonga	CA	04/2016	12/2016
Bank Of America, N.A.	Chandler	AZ	05/2023	Present

10/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
04/2016 → 10/2017

Certified Direct Solutions

Ontario, CA
04/2016 → 12/2016

Quick Debt Services Llc

Rancho Cucamonga, CA
05/2023 → Present

Bank Of America, N.A.

Chandler, AZ

Other Businesses

BRWNSKNGRL LLC Non Investment Related 100 Wiseman Way Upland, Ca 91786 Specialty Gifts Owner 09/2020 0 hours devoted during the month 0 hours devoted during trading hours No duties related to the business. Business is ran by Dana Lewis

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-08-01

S66 Uniform Combined State Law Examination

2023-08-01

View on SEC IAPD