Charles G. Mcnally

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CRD#: 1061946

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 Gray Mcnally was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 3 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 26, 2018 - April 22, 2019

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

March 14, 2017 - September 21, 2018

MATRIX 360 DISTRIBUTORS, LLC

CRD#: 159715

New York, NY

Past

January 24, 2013 - December 31, 2016

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

New York, NY

Past

May 26, 1999 - May 31, 2012

LYSTER WATSON SECURITIES, INC.

CRD#: 30210

NEW YORK, NY

Past

March 4, 1994 - December 8, 1997

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

March 11, 1993 - July 29, 1993

PALOMA SECURITIES L.L.C.

CRD#: 24234

GREENWICH, CT

Past

April 26, 1991 - July 27, 1992

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 12, 1985 - February 14, 1991

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 24, 1982 - February 1, 1985

GOLDMAN SACHS & CO. LLC

CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 4/5/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 4/4/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/15/1980

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 12/18/1985

Registered Options Principal Examination

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Charles G. Mcnally

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MATRIX 360 DISTRIBUTORS, LLC

MATRIX CAPITAL GROUP, INC.

LYSTER WATSON SECURITIES, INC.

JEFFERIES LLC

PALOMA SECURITIES L.L.C.

CREDIT SUISSE SECURITIES (USA) LLC

SALOMON BROTHERS INC.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/1999

Series 63

Date: 3/27/1985

SIE

Date: 10/1/2018

Series 15

Date: 4/5/1983

Series 5

Date: 4/4/1983

Series 7

Date: 8/21/1982

Series 3

Date: 7/15/1980

Series 4

Date: 12/18/1985

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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