AdFi
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Charles H Franckowiak Jr

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Westmont, ILCRD #2224511Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
2 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Charles H. Franckowiak has worked in the securities industry since 1992. They have passed the Series 66, 63, 7, 6, and 3 examinations. They are registered to provide investment advisory services in Illinois and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
IllinoisTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/5/2013
Series 63
Uniform Securities Agent State Law Examination
Passed 5/8/1992
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 9/9/2008
Series 7
General Securities Representative Examination
Passed 2/13/2008
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/9/1992

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
6/6/2013Westmont, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
5/17/2013Westmont, IL
DWS INVESTMENTS DISTRIBUTORS, INC
10/19/20011/2/2013Chicago, IL
SCUDDER INVESTOR SERVICES, INC.
12/24/199710/19/2001New York, NY
THE DREYFUS SERVICE CORPORATION
4/13/199210/21/1997New York, NY

Official records & sources

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charles H Franckowiak Jr has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Charles H Franckowiak Jr - Financial Advisor in Westmont, IL | AdvisorFinder