Charles F. Scully
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 Francis Scully, who also goes by Bud Scully, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2020 - January 7, 2022
CHARLES SCHWAB & CO., INC.
January 17, 2020 - January 7, 2022
CHARLES SCHWAB & CO., INC.
February 28, 2018 - November 19, 2019
TD AMERITRADE, INC.
February 26, 2018 - November 19, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - November 19, 2019
TD AMERITRADE, INC.
March 6, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
March 1, 2016 - February 26, 2018
SCOTTRADE, INC.
June 7, 2011 - January 7, 2016
DUNHAM
June 6, 2011 - January 7, 2016
DUNHAM
June 5, 2007 - July 14, 2010
VOYA FINANCIAL PARTNERS, LLC
January 20, 2005 - May 9, 2007
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 22, 2004 - January 6, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
March 21, 1996 - June 1, 2004
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 3, 1995 - February 20, 1996
NEW ENGLAND SECURITIES
September 30, 1985 - February 2, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 30, 1985 - February 2, 1995
EQUITABLE ADVISORS, LLC
September 15, 1983 - August 26, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 1983 - August 26, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
