Charles P. Hubert
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 Paul Hubert, who also goes by Charlie Hubert, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - November 10, 2017
FOCUS WEALTH ADVISORS, LLC
March 31, 2011 - July 15, 2013
CONCERT WEALTH MANAGEMENT
November 9, 2004 - April 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2004 - April 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 23, 1983 - November 1, 2004
MORGAN STANLEY DW INC.
April 20, 1983 - November 1, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FOCUS WEALTH ADVISORS, LLC
CRD#: 165425 / SEC#: 801-77462
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 8
Date: 10/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOCUS WEALTH ADVISORS, LLC
CRD#: 165425 / SEC#: 801-77462
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 355 |
| AUM (Assets Under Management) | $ 273,817,922 |
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.
