Charles T. Sharpless
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 Thomas Sharpless, who also goes by Carlos Sharpless Duco, Carlos Sharpless III, Carlos Sharpless, Charles Thomas Sharpless III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 13 firms and has passed the Series 63, SIE, Series 50, Series 79, Series 7, Series 53 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
February 19, 2016 - June 20, 2017
OPPENHEIMER & CO. INC.
July 9, 2015 - February 26, 2016
CABRERA CAPITAL MARKETS, LLC
January 15, 2014 - April 30, 2015
STERNE, AGEE & LEACH, INC.
July 12, 2011 - January 3, 2014
M. R. BEAL & COMPANY
February 26, 2008 - July 5, 2011
STERNE, AGEE & LEACH, INC.
January 11, 2005 - January 9, 2008
POPULAR SECURITIES, LLC
May 7, 2003 - January 7, 2005
SAMUEL A. RAMIREZ & COMPANY, INC.
December 10, 2001 - May 6, 2002
I-BANKERS SECURITIES, INC.
July 8, 1997 - September 20, 1999
HILLTOP SECURITIES INC.
March 22, 1991 - December 22, 1994
SBC WARBURG DILLON READ INC.
October 18, 1989 - March 18, 1991
J.P. MORGAN SECURITIES LLC
January 3, 1989 - August 29, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 9, 1985 - May 8, 1987
TEXAS CAPITAL MARKETS, INCORPORATED
March 22, 1983 - September 13, 1985
FIRST SOUTHWEST COMPANY, LLC
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
