Charles T. Marciano
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 Marciano, CFP® was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Experience
September 19, 2017 - July 15, 2019
THE LEADERS GROUP, INC.
March 22, 2006 - September 14, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 19, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
April 19, 1999 - September 15, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 6, 1990 - February 5, 1999
THE ADVISORS GROUP, INC.
April 16, 1985 - January 10, 1986
THE ADVISORS GROUP, INC.
November 9, 1984 - February 21, 1985
USLIFE EQUITY SALES CORP.
January 31, 1984 - February 25, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 21, 1983 - February 15, 1984
USLIFE EQUITY SALES CORP.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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