Charles Douglas Maloy

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1999 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tulsa, OK
• 08/2019 → Present
  Bank Of America, N.A.
  Tulsa, OK

Other Businesses

I*: 3009273 Entity Type: Fiduciary role Name of OBA: CWM Address: Owasso, OK, 74055 Investment Related: n Position, Title, Association: Executor Employee Start Date: 10/14/2025 No Hours: 5hr/mo No Hours during trading: 5hr/mo Duties: Executor/Parent I*4738277 Entity Type: For Profit Name of OBA: M. Family LLC Address: Owasso, Oklahoma, 74055 Investment Related: No Position, Title, Association: General Partner/Managing Member Employee Start Date: 06/18/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0 Duties: The goal of the LLC is to manage a house and land in Ada, OK, totaling 40 acres. I will then lease the house to my son and his soon to be wife. They will not pay rent, but will reimburse me for the monthly utilities. Also, the LLC will also manage a hay field whereby a neighbor will use cultivate the hay meadow in exchange for keeping the rest of the land mowed. My responsibilities are to manage personal property held inside the LLC.

Exams

• S66 Uniform Combined State Law Examination
  1999-11-15

Other Names

• Charles D Maloy
• Doug Maloy