Charles J. Fischer
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 Jonathan Fischer 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 63, Series 65, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2007 - January 25, 2016
ALPS DISTRIBUTORS, INC.
December 1, 2005 - February 24, 2006
FRANKLIN DISTRIBUTORS, LLC
September 1, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
June 26, 1997 - September 1, 1998
SALOMON BROTHERS INC.
May 25, 1994 - June 17, 1997
NICHOLAS-APPLEGATE SECURITIES LLC
November 22, 1983 - January 22, 1986
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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