Charles E. Greenway
Professional summary
Charles Elwood Greenway was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Charles had worked at 5 firms, which includes GUNNALLEN FINANCIAL INC, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, PIPER SANDLER & CO., B.C. CHRISTOPHER SECURITIES CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2002 - April 14, 2003
GUNNALLEN FINANCIAL, INC
March 2, 1998 - November 29, 2001
RBC CAPITAL MARKETS, LLC
February 18, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
April 15, 1986 - February 20, 1997
PIPER SANDLER & CO.
March 23, 1984 - April 25, 1986
B.C. CHRISTOPHER SECURITIES CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 1/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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