CK
Charles W. Kromer
Some features on this profile are disabled
CRD#: 1068867
CK
Professional summary
Charles William Kromer JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Charles had worked at 8 firms, which includes CUSO FINANCIAL SERVICES L.P., OPPENHEIMER & CO. INC., FIFTH THIRD SECURITIES INC., MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC., E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles William Kromer
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.
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®
NoneExperience
Past
November 7, 2006 - July 20, 2011
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
CENTERVILLE, OH
Past
June 9, 2006 - November 13, 2006
OPPENHEIMER & CO. INC.
BD
CRD#: 249
CINCINNATI, OH
Past
January 12, 2005 - May 15, 2006
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
SPRINGBORO, OH
Past
July 8, 1999 - January 12, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CENTERVILLE, OH
Past
January 22, 1994 - January 12, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 15, 1988 - March 3, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 10, 1988 - January 20, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 27, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 20, 1982 - July 23, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/19/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CF
CUSO FINANCIAL SERVICES, L.P.
CUSO FINANCIAL SERVICES | CUSO FINANCIAL SERVICES, LTD. | CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
RIA
Registered Investment Advisory firm - SEC (5/31/2001 Approved)Alaska
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)California
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/8/2001 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/2/2001 Terminated)Maryland
Registered Investment Advisory firm - SEC (6/11/2001 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2001 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)Nevada
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/12/2006 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/6/2001 Terminated)Texas
Registered Investment Advisory firm - SEC (7/12/2001 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/7/2001 Terminated)Washington
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/6/2001 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
10150 Meanley Drive 1st Floor 1st Floor, San Diego, CA, 92131
Mailing Address
10150 Meanley Drive 1st Floor, San Diego, CA, 92131
Phone number
(858) 530-4400
Established
California since 11/07/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
791
SEC notice filing (53 States and Territories)
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
