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Charles King

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2020-12-04
MD RA APPROVED 2011-11-29
DC RA APPROVED 1994-02-16
TX RA APPROVED_RES 1986-02-27
  • CO RA
    APPROVED
    Since 2020-12-04
  • MD RA
    APPROVED
    Since 2011-11-29
  • DC RA
    APPROVED
    Since 1994-02-16
  • TX RA
    APPROVED_RES
    Since 1986-02-27

Branch Locations

1800 K St Nw, Washington, DC 20006 • 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 Washington DC 04/1983 Present
Bank Of America, Na Washington Dc DC 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-03
S63 Uniform Securities Agent State Law Examination 1983-07-08
  • S65 Uniform Investment Adviser Law Examination
    1993-12-03
  • S63 Uniform Securities Agent State Law Examination
    1983-07-08
Other Names
  • Charlie King

View on SEC IAPD

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Other Offices

BRYSPEN, INCORPORATED · WASHINGTON, DC
3WIRE INVESTMENT · WASHINGTON, DC
LPL FINANCIAL LLC · WASHINGTON, DC
ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC
C5 CAPITAL USA LLC · WASHINGTON, DC
AEB CAPITAL · WASHINGTON, DC
DOMINION FINANCIAL CONSULTANTS, LLC · WASHINGTON, DC
A.G.P. / ALLIANCE GLOBAL PARTNERS · Washington, DC

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