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CL

Charles E. Ledbetter

Some features on this profile are disabled
CRD#: 1284694
CL

Professional summary

Charles Edward Ledbetter III 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 1985. Prior to being barred, Charles had worked at 8 firms, which includes 1717 CAPITAL MANAGEMENT COMPANY, AMERITAS INVESTMENT COMPANY LLC, CINCINNATI ANALYSTS INC., PRUCO SECURITIES LLC., WOODBURY FINANCIAL SERVICES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, SIGNATOR INVESTORS INC., F & G SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Ledbetter Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 23, 1998 - May 5, 2000

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

March 14, 1997 - October 28, 1998

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

November 20, 1996 - December 31, 1996

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

June 23, 1995 - March 12, 1997

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH
Past

July 20, 1993 - February 15, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

October 31, 1991 - July 2, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

December 1, 1989 - August 7, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

December 1, 1989 - August 7, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

June 11, 1987 - October 17, 1988

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

August 25, 1986 - February 4, 1987

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

October 1, 1985 - March 24, 1986

F & G SECURITIES, INC.

BD
CRD#: 16364

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

1C
1717 CAPITAL MANAGEMENT COMPANY
1717 CAPITAL MANAGEMENT COMPANY | PML SECURITIES COMPANY

CRD#: 4082 / SEC#: , 8-14657

BD
Terminated by SEC on 10/28/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 01/22/1969
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FOSTER, DOUGLAS WAYNEVICE PRESIDENT4395571

Disclosures

Regulatory Event4
Arbitration1
Bond3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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