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CHARLOTTE DUBEY
CHARLOTTE LUGO
CRD#: 4188515
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2001 - 2006 (5 years)2 FIRMS2012 - 2016 (4 years)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 1/18/2018

B
Montana 1/18/2018

B
Alaska 1/18/2018

B
Nevada 12/19/2016

B
Arizona 12/19/2016

B
New Hampshire 1/6/2020

B
Arkansas 12/19/2016

B
New Jersey 1/18/2018

B
California 12/16/2016

B
New Mexico 11/21/2017

IA
California 12/16/2016

B
New York 12/19/2016

B
Colorado 12/19/2016

B
North Carolina 12/19/2016

B
Connecticut 1/18/2018

B
Ohio 1/18/2018

B
Delaware 12/19/2016

B
Oklahoma 1/18/2018

B
Florida 12/19/2016

B
Oregon 12/19/2016

B
Georgia 12/19/2016

B
Pennsylvania 12/19/2016

B
Hawaii 12/19/2016

B
Rhode Island 1/18/2018

B
Idaho 1/18/2018

B
South Carolina 2/6/2017

B
Illinois 1/18/2018

B
South Dakota 2/15/2018

B
Indiana 1/18/2018

B
Tennessee 1/18/2018

B
Kansas 12/19/2016

B
Texas 12/19/2016

B
Kentucky 11/10/2017

IA
Texas 12/19/2016

B
Louisiana 1/18/2018

B
Utah 12/19/2016

B
Maine 4/18/2017

B
Vermont 1/18/2018

B
Maryland 11/10/2017

B
Virginia 12/19/2016

B
Massachusetts 1/18/2018

B
Washington 12/19/2016

B
Michigan 1/18/2018

B
West Virginia 1/18/2018

B
Minnesota 1/18/2018

B
Wisconsin 4/15/2018

B
Mississippi 2/15/2018

B
Wyoming 1/18/2018

B
Missouri 12/19/2016

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

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 12/16/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 12/16/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/04/2012 - 12/07/2016 WELLS FARGO ADVISORS (CRD#:19616) EL DORADO HILLS, CA
B
03/12/2012 - 12/07/2016 WELLS FARGO ADVISORS (CRD#:19616) EL DORADO HILLS, CA
IA
08/31/2001 - 05/03/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ROSEVILLE, CA
B
05/02/2001 - 05/03/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ROSEVILLE, CA
B
03/19/2001 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
01/08/2001 - 04/10/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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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.