Charles V. Pankey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Vaughn Pankey was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 14 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1999 - February 11, 1999
THE CHAPMAN CO.
October 29, 1997 - July 30, 1998
FALCON INVESTMENT CORP.
May 23, 1997 - October 30, 1997
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
July 15, 1996 - September 12, 1996
SAUCEDA & GRANVILLE SECURITIES, INC.
September 29, 1995 - June 13, 1996
SIMON SECURITIES, INC.
October 20, 1993 - February 21, 1995
STRATEGIC RESOURCE MANAGEMENT, INC.
January 8, 1991 - July 29, 1993
LP CHARLES & COMPANY, INC.
October 16, 1989 - February 4, 1991
KOBER FINANCIAL CORP.
October 22, 1985 - November 8, 1989
THE STUART-JAMES COMPANY, INCORPORATED
June 3, 1985 - October 24, 1985
J. W. GANT & ASSOCIATES, INC.
January 17, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
July 21, 1983 - November 21, 1983
SHERWOOD CAPITAL, INC.
November 3, 1981 - May 31, 1983
BLINDER, ROBINSON & CO., INC.
October 13, 1981 - October 20, 1981
B & L SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE CHAPMAN CO.
CRD#: 19178 / SEC#: , 8-37188
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
