Charles D. Hamblin
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 Dennis Hamblin, who also goes by C Dennis Hamblin, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2009 - July 1, 2019
LEGACY ASSET MANAGEMENT, INC.
January 13, 2004 - June 28, 2019
LEGACY ASSET SECURITIES, INC.
July 9, 2001 - December 31, 2003
FIRST ALLIED SECURITIES, INC.
January 4, 1999 - December 21, 2000
JOHN HANCOCK DISTRIBUTORS LLC
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
LEGACY ASSET MANAGEMENT, INC.
CRD#: 111423 / SEC#: 801-57208
Contact information
Regulatory assets under management
| Total Number of Accounts | 522 |
| AUM (Assets Under Management) | $ 161,715,619 |
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.
