Charles W. Morten
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 Morten was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 3, Series 7, Series 4, 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
May 8, 2014 - December 31, 2016
OMNIVEST GROUP LLC
November 3, 2006 - March 5, 2009
MANAGED ACCOUNT SERVICES, LLC
June 17, 2003 - February 18, 2005
CHASE INVESTMENT SERVICES CORP.
May 20, 1982 - November 13, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 1/6/1984
Interest Rate Options ExaminationCurrent Firm
OMNIVEST GROUP LLC
CRD#: 141057 / SEC#: 801-66936
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 28,700,000 |
Red Flags
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