Charles D. Sisk
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 David Sisk was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1982. Charles had worked at 15 firms and has passed the Series 63, SIE, Series 3, 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
February 3, 2012 - April 1, 2016
FINTRUST BROKERAGE SERVICES, LLC
June 7, 2011 - February 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 11, 2003 - February 6, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 30, 1999 - November 17, 1999
WESTPORT PARTNERS LTD
August 30, 1999 - November 26, 2003
UBS FINANCIAL SERVICES INC.
November 10, 1997 - September 10, 1999
EGS SECURITIES CORP.
October 23, 1996 - August 28, 1997
DOMINARI SECURITIES LLC
November 23, 1994 - September 25, 1996
MCCRACKEN ADVISORY PARTNERS CORPORATION
July 24, 1991 - May 6, 1999
MAKEFIELD SECURITIES CORPORATION
September 4, 1990 - September 21, 1990
WELLS FARGO CLEARING SERVICES, LLC
November 14, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
May 14, 1988 - December 5, 1989
LEHMAN BROTHERS INC.
March 21, 1988 - May 14, 1988
E. F. HUTTON & COMPANY INC
November 24, 1986 - March 29, 1988
UBS FINANCIAL SERVICES INC.
July 11, 1985 - December 4, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
October 17, 1984 - June 24, 1985
J.P. MORGAN SECURITIES LLC
April 6, 1984 - February 19, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1983 - April 16, 1984
J.P. MORGAN SECURITIES LLC
July 22, 1982 - March 7, 1983
A. G. EDWARDS & SONS, 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
FINTRUST BROKERAGE SERVICES, LLC
CRD#: 41608 / SEC#: , 8-49514
Contact information
Documents
Red Flags
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