Charles G. Bennett
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 George Bennett, who also goes by Chuck Bennett, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 22, Series 6 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
January 2, 2008 - December 31, 2011
NATIONS FINANCIAL GROUP, INC.
January 18, 2002 - December 31, 2007
NATIONS FINANCIAL GROUP, INC.
February 3, 1998 - January 20, 2000
NATIONS FINANCIAL GROUP, INC.
June 3, 1997 - February 5, 1998
THE ADVISORS GROUP, INC.
April 19, 1993 - May 29, 1997
AEGON USA SECURITIES INC.
September 11, 1992 - April 20, 1993
INVESTMENT CENTERS OF AMERICA, INC.
April 3, 1989 - September 14, 1992
AEGON USA SECURITIES INC.
February 6, 1987 - May 2, 1989
NEW ENGLAND SECURITIES
November 28, 1984 - August 19, 1986
THE O.N. EQUITY SALES COMPANY
October 31, 1984 - April 28, 1989
PERPETUAL INVESTMENT ASSOCIATES
February 2, 1984 - December 18, 1984
NEW ENGLAND SECURITIES
October 18, 1982 - February 13, 1984
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
