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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

CHARLES J SAILOR

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PASADENA, CA

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Search this name across graphsid dfx:ria:feec774a-60e0-0e35-05d3-e61e8d771967

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 9, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 6, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Sep 6, 2013
First registration: Sep 9, 2013
Dual registered: yes, broker-dealer
Other names: CHARLES JESSIE SAILOR|CHARLES J SAILOR
IAPD individual key: 6089565

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 25, 2018	n/a	yes	PASADENA, CA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 8, 2015	Aug 10, 2018	no	RANCHO CUCAMONGA, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 8, 2015	Aug 10, 2018	no	Upland, CA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 9, 2013	Jul 9, 2015	no	Brea, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 10, 2018	Jul 25, 2018	-16	Firm change	RIA to wirehouse
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 10, 2018	Jul 8, 2015	-1,129	Channel change	Other
MORGAN STANLEY	TD AMERITRADE, INC.	Jul 9, 2015	Jul 8, 2015	-1	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jul 25, 2018 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 8, 2015 to Aug 10, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 8, 2015 to Aug 10, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 9, 2013 to Jul 9, 2015factForm ADV

Dated events

No dated event names this entity yet.