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Detailed Report
CHARLES J SAILOR
CHARLES J SAILOR II, CHARLES JESSIE SAILOR
CRD#: 6089565
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2015 (1 year)3 FIRMS2015 - 2018 (3 years)2 FIRMS2018 - Present (6 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (<1 year)
Disclosure(s)
View By:
4/19/2016
Judgment / Lien
3/19/2009
Judgment / Lien
3/9/2009
Judgment / Lien
License(s)

State Registrations

B
California 7/25/2018
B
North Carolina 8/22/2019
IA
California 7/25/2018
B
Ohio 9/19/2023
B
Georgia 4/29/2021
IA
Texas 2/11/2019
B
Hawaii 12/13/2024
B
Texas 5/16/2024
B
Michigan 8/16/2021
B
Virginia 6/3/2019

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 7/25/2018
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 7/25/2018
Previous Registration(s)
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IA
 07/08/2015 - 08/10/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) RANCHO CUCAMONGA, CA
IA
 07/08/2015 - 08/10/2018 TD AMERITRADE, INC. (CRD#:7870) RANCHO CUCAMONGA, CA
B
 07/08/2015 - 08/10/2018 TD AMERITRADE, INC. (CRD#:7870) RANCHO CUCAMONGA, CA
IA
 09/09/2013 - 07/09/2015 MORGAN STANLEY (CRD#:149777) BREA, CA
B
 08/27/2013 - 07/09/2015 MORGAN STANLEY (CRD#:149777) BREA, CA
B
 12/08/2012 - 02/13/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RIVERSIDE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.