Charles B. Bishop
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 Brian Bishop was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, 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
April 25, 1991 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
January 2, 1991 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
January 11, 1988 - December 31, 1990
FIRST PACIFIC CAPITAL CORPORATION
July 14, 1986 - December 31, 1987
COOPERATIVE FINANCIAL PLANNERS, LTD.
November 13, 1985 - January 20, 1988
CETERA WEALTH SERVICES, LLC
March 12, 1982 - November 26, 1985
WADDELL & REED
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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