Charles H. Grimes
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 Harris Grimes, who also goes by Charles H Grimes, 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 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - September 22, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
July 8, 2013 - December 18, 2014
PRUCO SECURITIES, LLC.
January 23, 2009 - July 10, 2013
ALLSTATE FINANCIAL SERVICES, LLC
June 16, 2008 - December 31, 2008
SUMMIT BROKERAGE SERVICES, INC.
November 21, 2001 - May 6, 2008
AMUNI FINANCIAL, INC.
February 9, 2001 - November 21, 2001
JOSEPHTHAL & CO., INC.
April 27, 1998 - February 16, 2001
MARION BASS SECURITIES CORPORATION
December 23, 1994 - May 21, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
February 8, 1991 - October 4, 1994
SCOTT & STRINGFELLOW, INC.
June 13, 1988 - January 11, 1991
MORGAN STANLEY DW INC.
April 1, 1987 - June 3, 1988
FIRST TRYON SECURITIES, INC.
January 26, 1984 - April 7, 1987
PRUDENTIAL EQUITY GROUP, LLC
March 16, 1983 - September 26, 1983
GENERAL AMERICAN LIFE INSURANCE COMPANY
August 11, 1982 - February 9, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
