Charles T. Manuel
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 Thorpe Manuel was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 82, Series 79, Series 7 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
July 10, 2015 - August 8, 2022
FORESIDE INVESTMENT SERVICES, LLC
January 29, 2007 - July 15, 2008
KEYBANC CAPITAL MARKETS INC.
August 28, 2003 - February 9, 2006
BLACK POINT PARTNERS, INC.
December 3, 1999 - June 11, 2001
TRUIST SECURITIES, INC.
July 26, 1996 - December 1, 1999
VOLPE BROWN WHELAN & COMPANY, LLC
November 22, 1994 - July 15, 1996
GLEACHER & COMPANY SECURITIES, INC.
August 24, 1992 - August 23, 1994
NATWEST SECURITIES CORPORATION
October 25, 1991 - September 2, 1992
WESTMINSTER RESEARCH ASSOCIATES 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
FORESIDE INVESTMENT SERVICES, LLC
CRD#: 30016 / SEC#: , 8-44681
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| CHERN, NANETTE KING | CHIEF COMPLIANCE OFFICER/VP | 1718029 |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | FINOP | 5290145 |
| WHETSTONE, KELLY BOWERS | SECRETARY | 5380134 |
Disclosures
| Regulatory Event | 1 |
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.
