Charles C. Shafe
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 Chamberlain Shafe was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 62, Series 6, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2004 - June 19, 2013
DELTA SECURITIES COMPANY, LLC
January 7, 1991 - December 31, 2016
SIGNATURE ESTATE SECURITIES, LLC
September 29, 1986 - January 9, 1991
CFG SECURITIES CORP.
September 18, 1984 - October 14, 1986
FLORIDA SUN SECURITIES, 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
Exams
Series 62
Date: 8/3/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
DELTA SECURITIES COMPANY, LLC
CRD#: 130577 / SEC#: , 8-66364
Contact information
Documents
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.
