Charles W. Markham

Some features on this profile are disabled

CRD#: 1035431

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 Wesley Markham JR, who also goes by Charles Wesley Jr Markham, Charles Wesly Markham Jr, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Wesley Jr Markham | Charles Wesly Markham Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am a licensed professional counselor (LPC) in the State of New Jersey, have been such for more than 5 years, and perform that role in my sub-S corp, Living Better Institute, Inc., of which I am the sole owner. My role as an LPC and that company are NOT investment related, and are totally unrelated to my investment advising. My LPC practice occupies a substantial part of my time.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 16, 2018 - September 30, 2022

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167834

Hamburg, NJ

Past

April 15, 1997 - May 30, 2001

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

September 27, 1995 - April 25, 1997

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 13, 1994 - September 27, 1995

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

July 14, 1992 - April 27, 1994

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

May 23, 1988 - June 26, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 28, 1983 - June 21, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

March 30, 1982 - November 23, 1983

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

CRD#: 167834 / SEC#: 801-123573

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2018 Terminated)

California

Registered Investment Advisory firm - (5/25/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (4/26/2022 Terminated)

New York

Registered Investment Advisory firm - (4/25/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/6/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/25/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 6/13/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 3/20/1982

General Securities Representative Examination

Current Firm

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

CRD#: 167834 / SEC#: 801-123573

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2018 Terminated)

California

Registered Investment Advisory firm - (5/25/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (4/26/2022 Terminated)

New York

Registered Investment Advisory firm - (4/25/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

New City, NY

Mailing Address

Phone number

(845) 708-5306

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEXINGTON AVENUE CAPITAL MANAGEMENT ADV PART 2 FIRM BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts	240
AUM (Assets Under Management)	$ 144,311,665

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles W. Markham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRILL SECURITIES, INC.

TUCKER ANTHONY INCORPORATED

CHASE INVESTMENT SERVICES CORP.

GILFORD SECURITIES INCORPORATED

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

EMPIRE NATIONAL SECURITIES, INCORPORATED

Primary Firm SEC Registration

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2017

Series 63

Date: 11/30/1983

Series 3

Date: 2/25/1986

Series 15

Date: 6/13/1984

Series 7

Date: 3/20/1982

Current Firm

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEXINGTON AVENUE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors