Charles W. Yancey
Professional summary
Charles William Yancey, who also goes by Bill Yancey, is a registered financial advisor currently at DOO FINANCIAL US, INC. located in Fort Worth, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1983. Charles has worked at 10 firms and has passed the Series 63, Series 7TO, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles William Yancey's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2021 - Present
DOO FINANCIAL US, INC.
Office #1: 5049 Edwards Ranch Road Ste 400, Fort Worth, TX 76109Office #2: 5049 Edwards Ranch Road Ste 400, Fort Worth, TX 76109March 25, 2016 - November 1, 2019
HILLTOP SECURITIES INC.
September 24, 2012 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
September 6, 2005 - February 16, 2012
PENSON FINANCIAL SERVICES, INC.
August 1, 2003 - August 3, 2005
CITI ORDER ROUTING AND EXECUTION, LLC
May 22, 2003 - August 3, 2005
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
November 5, 2001 - April 10, 2003
SOUTHWEST CLEARING CORP.
June 4, 2001 - April 10, 2003
MAY FINANCIAL CORPORATION
December 21, 1990 - April 10, 2003
HILLTOP SECURITIES INC.
December 20, 1990 - April 10, 2003
HILLTOP SECURITIES INC.
March 14, 1989 - September 14, 1990
DFW SECURITIES, INC.
August 24, 1983 - October 1, 1990
DFW CLEARING, 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
(11/9/2021)
(11/4/2021)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 12/17/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
DOO FINANCIAL US, INC.
CRD#: 24409 / SEC#: , 8-41551
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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