Charles E. Anderson
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 Earl Anderson JR, who also goes by Andy Anderson, Charles Earl Anderson, Charles Earl Andy Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 10 firms and has passed the 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
January 18, 2012 - November 6, 2020
AVALON INVESTMENT & SECURITIES GROUP, INC.
September 27, 2001 - November 1, 2011
VOYA FINANCIAL ADVISORS, INC.
January 4, 1999 - September 18, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 14, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 3, 1997 - August 25, 1998
OMEGA SECURITIES, INC.
February 9, 1996 - December 30, 1996
ADVANTAGE CAPITAL CORPORATION
January 20, 1996 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
August 15, 1994 - December 11, 1995
ADVANTAGE CAPITAL CORPORATION
April 17, 1993 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
January 2, 1991 - March 30, 1993
F & G SECURITIES, INC.
August 4, 1988 - December 5, 1990
NEW ENGLAND SECURITIES
January 14, 1988 - August 16, 1988
CONSECO EQUITY SALES, INC.
June 21, 1984 - August 9, 1988
VOYA FINANCIAL ADVISORS, 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
Current Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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