Charles R. Hale
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 Richard Hale JR, who also goes by Charles Richard Hale, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 4 firms and has passed the SIE, Series 7, Series 6 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
November 10, 2005 - October 17, 2018
CADARET, GRANT & CO., INC.
February 18, 1992 - October 17, 2018
CADARET, GRANT & CO., INC.
January 1, 1984 - February 28, 1992
NATHAN & LEWIS SECURITIES, INC.
October 7, 1982 - January 6, 1984
STUART, COLEMAN & CO., INC.
March 30, 1982 - February 28, 1992
NATHAN & LEWIS SECURITIES, INC.
March 29, 1982 - September 22, 1982
NATHAN & LEWIS SECURITIES, INC.
March 29, 1982 - October 3, 1983
HOME LIFE INSURANCE COMPANY
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
