Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Terrazas is an investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been in the securities industry since June 1995. He is a registered investment advisor representative in California and a resident investment advisor representative in Texas. Charles has held previous positions with BANC OF AMERICA INVESTMENT SERVICES, INC., WELLS FARGO INVESTMENTS, LLC, BANC OF AMERICA SECURITIES LLC, BANCAMERICA SECURITIES, INC., and BA SECURITIES, INC. He has a total of 34 state registrations, 2 FINRA registrations and 7 SRO registrations. Charles has passed the Series 3, 7, 63, 65 and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MILL VALLEY CA)
CA
10/21/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
04/17/2003 - 10/25/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
10/01/1998 - 11/28/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
04/12/1994 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
CA
10/01/1993 - 11/16/1993
BA SECURITIES, INC. (SAN FRANCISCO CA)
CA
08/30/1993 - 10/01/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 10/28/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1999
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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