Charlotte Kania
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.
Charlotte Kania, who also goes by Charlotte Baum, Charlotte Nee, was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 1984. Charlotte had worked at 4 firms and has passed the Series 63, 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
August 27, 2002 - February 3, 2016
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
January 2, 1990 - November 18, 2003
WALNUT STREET SECURITIES, INC.
June 9, 1989 - January 2, 1990
FIRST AFFIRMATIVE FINANCIAL NETWORK, INC.
February 24, 1984 - May 22, 1989
NATHAN & LEWIS SECURITIES, INC.
Primary Firm SEC Registration
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
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
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
Contact information
SEC notice filing (26 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 956,132,091 |
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.
