Charles Nunez
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 Nunez JR, who also goes by Charles Jr Nunez, 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 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2017 - February 21, 2018
FIRST ADVISORS NATIONAL, LLC
November 30, 1994 - December 31, 1996
NATIONAL PLANNING CORPORATION
January 7, 1993 - April 25, 1994
TOWER INVESTMENT GROUP, INC.
January 28, 1992 - February 2, 1993
NORTH AMERICAN MANAGEMENT, INC.
March 10, 1989 - December 31, 1991
SII INVESTMENTS, INC.
December 10, 1982 - December 31, 1988
PFS INVESTMENTS INC.
Primary Firm SEC Registration
FIRST ADVISORS NATIONAL, LLC
CRD#: 166212 / SEC#: 801-77440
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
FIRST ADVISORS NATIONAL, LLC
CRD#: 166212 / SEC#: 801-77440
Contact information
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,207 |
| AUM (Assets Under Management) | $ 501,113,212 |
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.
