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Charles Edward Duddingston

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Minneapolis, MN

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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 2014-06-16
MN RA APPROVED 2014-06-13
  • TX RA
    APPROVED_RES
    Since 2014-06-16
  • MN RA
    APPROVED
    Since 2014-06-13

Branch Locations

80 S 8Th St, Minneapolis, MN 55402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Minneapolis MN 06/2014 Present
Bank Of America, N.A. Minneapolis MN 06/2014 Present
Previous Registrations
  • 2009-06-01 → 2014-06-25
    Morgan Stanley
    Minneapolis, MN
  • 2008-10-09 → 2009-06-01
    Morgan Stanley & Co. Llc
    Minneapolis, MN
  • 2007-03-06 → 2008-10-02
    Ubs Financial Services Inc.
    Minneapolis, MN
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-05
S63 Uniform Securities Agent State Law Examination 1984-10-02
  • S66 Uniform Combined State Law Examination
    2008-11-05
  • S63 Uniform Securities Agent State Law Examination
    1984-10-02

View on SEC IAPD

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