Charles Pettit
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 Pettit, who also goes by Charles K Pettit, Charles Knight Pettit, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 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
August 23, 2021 - August 31, 2021
PERSONAL CAPITAL ADVISORS CORPORATION
January 3, 2019 - April 8, 2021
EDWARD JONES
December 10, 2018 - April 8, 2021
EDWARD JONES
March 14, 2018 - November 13, 2018
FDX CAPITAL LLC
October 22, 1993 - January 4, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 13, 1991 - April 12, 1993
POLARIS SECURITIES CORPORATION
October 4, 1989 - December 19, 1990
CAI SECURITIES CORPORATION
July 26, 1988 - August 16, 1989
KRUPP SECURITIES CORPORATION
May 3, 1988 - June 21, 1988
SHURGARD REALTY ADVISORS, INC.
May 28, 1986 - April 19, 1988
LEPERCQ EQUITY CORP.
November 15, 1984 - May 19, 1986
NEW ENGLAND SECURITIES
October 4, 1984 - October 16, 1984
BOSTON CAPITAL SECURITIES, INC.
February 16, 1984 - October 16, 1984
XC, INC.
September 29, 1983 - October 16, 1984
EXCHANGE SECURITIES, INC.
March 30, 1982 - August 1, 1983
E. F. HUTTON & COMPANY 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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
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.
