Charles B. Wakely
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 Bradford Wakely was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 6 firms and has passed the Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1991 - October 4, 1991
THE BENCHMARK COMPANY, INC.
April 19, 1990 - April 19, 1991
BREAN MURRAY & CO., INC.
September 1, 1989 - April 20, 1990
TD AMERITRADE, INC.
December 16, 1987 - September 19, 1989
SUMMIT CAPITAL GROUP,LTD.
June 4, 1984 - November 12, 1987
TUCKER ANTHONY INCORPORATED
August 26, 1982 - July 6, 1984
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 15
Date: 3/25/1985
Foreign Currency Options ExaminationCurrent Firm
THE BENCHMARK COMPANY, INC.
CRD#: 24534 / SEC#: 801-34305, 8-41008
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIPAOLO, LORRAINE ANN | DIRECTOR, TREASURER, SHAREHOLDER | 68468 |
| DIPAOLO, LORRAINE ANN | PRESIDENT, DIRECTOR, TREASURER | 68468 |
| ZORN, RICHARD LAURENCE | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 477143 |
| HARRIS, JACOB SAMUEL | ASSISTANT VICE PRESIDENT, SROP, CROP | 237925 |
| SPINDEL, HOWARD | ASSISTANT VICE PRESIDENT, ASSISTANT SROP, ASSISTANT CROP, FINOP | 708042 |
Disclosures
| Arbitration | 1 |
Red Flags
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