Charles W. Ingram
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 William Ingram JR, who also goes by Charlie Ingram, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, 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
June 28, 2012 - December 31, 2015
COMMERCE STREET INVESTMENT MANAGEMENT
October 1, 2007 - December 31, 2015
COMMERCE STREET CAPITAL, LLC
March 29, 2007 - October 1, 2007
SAMCO CAPITAL MARKETS, INC.
January 3, 2005 - April 4, 2005
PLAINSCAPITAL SECURITIES, LLC
September 5, 2002 - November 5, 2003
WFG INVESTMENTS, INC.
September 5, 2002 - November 5, 2003
WFG INVESTMENTS, INC.
September 24, 1996 - September 16, 2002
SUNAMERICA SECURITIES, INC.
March 1, 1996 - September 24, 1996
MONEY CONCEPTS CAPITAL CORP
April 10, 1995 - November 13, 1995
BANK UNITED SECURITIES CORP.
July 20, 1992 - August 31, 1994
RAUSCHER PIERCE REFSNES, INC.
May 20, 1991 - July 1, 1992
MOMENTUM INDEPENDENT NETWORK INC.
February 6, 1990 - April 2, 1991
TEXAS COMMERCE EQUITIES, INC.
March 26, 1982 - April 27, 1989
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
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
Series 5
Date: 8/10/1984
Interest Rate Options ExaminationCurrent Firm
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76 |
| AUM (Assets Under Management) | $ 876,451,597 |
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.
