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C HODGES HARTY III
C. HODGES HARTY III, CHARLES HODGES HARTY III
CRD#: 1114074
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 601 N SECTION ST
FAIRHOPE, AL 36532
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - Present (33 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - Present (41 years)
License(s)

State Registrations

B
Alabama 4/20/1983

B
Mississippi 5/13/1983

IA
Alabama 4/5/1991

B
Missouri 7/1/2017

B
Arizona 1/20/2006

B
Nevada 12/16/2024

B
Arkansas 9/1/2003

B
New Hampshire 5/2/2023

B
California 6/13/1995

B
New Jersey 12/11/2019

B
Colorado 7/1/2017

B
New Mexico 12/7/2022

B
Connecticut 11/14/2014

B
New York 11/1/2012

B
District of Columbia 8/17/2022

B
North Carolina 1/21/2003

B
Florida 3/31/1989

B
Ohio 6/4/1998

B
Georgia 5/21/1984

B
Oregon 10/22/2018

B
Hawaii 10/1/2024

B
Pennsylvania 2/4/2009

B
Idaho 5/22/2003

B
Puerto Rico 9/10/2009

B
Illinois 7/1/2021

B
South Carolina 3/15/2019

B
Indiana 11/6/2023

B
Tennessee 1/30/1986

B
Kansas 7/1/2017

B
Texas 8/5/1994

B
Kentucky 7/19/1995

IA
Texas 8/5/1994

B
Louisiana 5/21/1984

B
Virginia 10/26/2015

B
Maine 12/8/2021

B
Washington 7/21/2004

B
Maryland 7/15/2024

B
West Virginia 7/15/2024

B
Massachusetts 12/7/2022

B
Wisconsin 11/3/2022

B
Michigan 7/1/2017

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 N SECTION ST, FAIRHOPE, AL 36532
Registered with this firm since 4/5/1991

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 N SECTION ST, FAIRHOPE, AL 36532
Registered with this firm since 4/20/1983

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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.