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CHARLES R. NORTHRUP
CRD#: 4001043
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2009 (5 years)BQUICK & REILLY, INC. (CRD# 11217)2000 - 2004 (4 years)BBANKBOSTON INVESTOR SERVICES, INC. (CRD# 36369)2000 - 2000 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2009 (4 years)
License(s)

State Registrations

B
California 10/23/2009

B
New Jersey 1/8/2024

B
Connecticut 10/23/2009

B
New York 10/23/2009

IA
Connecticut 11/16/2009

B
North Carolina 10/23/2009

B
Delaware 10/15/2024

B
Ohio 1/8/2024

B
District of Columbia 1/8/2024

B
Oregon 6/8/2017

B
Florida 10/23/2009

B
Pennsylvania 4/25/2017

B
Georgia 4/3/2024

B
Rhode Island 10/23/2009

B
Hawaii 1/8/2024

IA
Texas 2/11/2013

B
Illinois 4/28/2010

B
Texas 1/8/2024

B
Maine 10/23/2009

B
Utah 6/28/2019

B
Maryland 1/8/2024

B
Vermont 10/23/2009

B
Massachusetts 10/23/2009

B
Virginia 10/23/2009

B
Missouri 1/8/2024

B
Washington 8/19/2021

B
New Hampshire 10/23/2009

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

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Learn about permitted activities of registered representatives

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)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 11/16/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/25/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
09/05/2000 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
06/12/2000 - 09/06/2000 BANKBOSTON INVESTOR SERVICES, INC. (CRD#:36369) BOSTON, MA
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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.