Charles B. Ferrill
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 Bailey Ferrill JR, who also goes by Charlie Ferrill Jr, Charlie Ferrill, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1988. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 6, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2007 - May 9, 2011
REGAL SECURITIES, INC.
May 23, 2002 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
March 25, 1999 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
November 30, 1989 - April 1, 1999
MORGAN KEEGAN & COMPANY, LLC
March 30, 1989 - November 15, 1989
TOWNES & CO., INC.
October 21, 1988 - September 13, 1989
FINANCIAL EXCHANGE,LTD.
July 22, 1988 - October 12, 1988
BOLTON FINANCIAL SERVICES, LLC
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
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
