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Charles R Worms

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

New York, NY

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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 2025-11-17
IL RA APPROVED 2025-10-02
  • TX RA
    APPROVED
    Since 2025-11-17
  • IL RA
    APPROVED
    Since 2025-10-02

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • United States

One Bryant Park, New York, NY 10036 • 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 Chicago IL 07/2025 Present
Miami University Of Ohio Oxford OH 08/2021 05/2025
Minnetonka School Districts (Student) Minnetonka MN 08/2015 08/2021
Merrill Lynch Chicago IL 06/2024 08/2024
Inno-Flex Corporation / Robert-Half Minneapolis MN 05/2023 08/2023
Caribbean Marina And Gas Dock Tonka Bay MN 05/2021 08/2023
Lakescape Llc Excelsior MN 06/2020 12/2022
  • 07/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chicago, IL
  • 08/2021 → 05/2025
    Miami University Of Ohio
    Oxford, OH
  • 08/2015 → 08/2021
    Minnetonka School Districts (Student)
    Minnetonka, MN
  • 06/2024 → 08/2024
    Merrill Lynch
    Chicago, IL
  • 05/2023 → 08/2023
    Inno-Flex Corporation / Robert-Half
    Minneapolis, MN
  • 05/2021 → 08/2023
    Caribbean Marina And Gas Dock
    Tonka Bay, MN
  • 06/2020 → 12/2022
    Lakescape Llc
    Excelsior, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-02
  • S66 Uniform Combined State Law Examination
    2025-10-02
Other Names
  • Charles Richard Worms

View on SEC IAPD

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SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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