Charles L. Laubach
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 Louis Laubach, who also goes by Chuck Laubach, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 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 26, 2016 - August 19, 2019
CAPITAL PORTFOLIO MANAGEMENT, INC.
March 29, 2016 - April 1, 2016
CAPITAL PORTFOLIO MANAGEMENT, INC.
March 29, 2016 - August 19, 2019
CAPITAL PORTFOLIO MANAGEMENT, INC.
March 17, 2015 - March 22, 2016
CHAPIN, DAVIS
March 13, 2015 - March 22, 2016
CHAPIN, DAVIS
September 19, 2012 - February 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2012 - February 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 8, 2004 - September 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2004 - September 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1994 - October 15, 2004
MORGAN STANLEY DW INC.
July 28, 1994 - October 15, 2004
MORGAN STANLEY DW INC.
July 7, 1986 - August 4, 1994
CITIGROUP GLOBAL MARKETS INC.
March 1, 1983 - July 23, 1986
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 5
Date: 3/29/1983
Interest Rate Options ExaminationCurrent Firm
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
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.
