Charles M. White
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 Michael White, who also goes by Charlie White, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2022 - June 23, 2022
SECURITIES AMERICA, INC.
April 30, 2014 - June 11, 2021
COMMONWEALTH FINANCIAL NETWORK
April 30, 2014 - June 11, 2021
COMMONWEALTH FINANCIAL NETWORK
June 8, 2007 - November 15, 2013
AITA FINANCIAL GROUP, INC.
May 17, 2007 - August 2, 2013
OSAIC WEALTH, INC.
May 26, 2006 - May 24, 2007
VALIC FINANCIAL ADVISORS, INC.
May 26, 2006 - May 24, 2007
VALIC FINANCIAL ADVISORS, INC.
April 5, 2006 - June 8, 2006
EQUITABLE ADVISORS, LLC
February 29, 1996 - September 10, 2001
MORGAN STANLEY DW INC.
January 15, 1991 - February 22, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1983 - October 10, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 1
Date: 1/31/1980
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
