Charles C. Marshall
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 Cantrell Marshall 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 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 1987 - October 15, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
November 16, 1983 - September 22, 1987
YOUNG, SMITH & PEACOCK, INC.
March 28, 1983 - November 15, 1983
QUINN & CO., INC.
August 11, 1982 - February 10, 1983
M.L. STERN & CO., LLC.
March 2, 1982 - June 1, 1982
UBS FINANCIAL SERVICES INC.
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
FITZGERALD, DEARMAN & ROBERTS, INC.
CRD#: 317 / SEC#: , 8-11768
Contact information
Documents
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.
