Charles D. Buckalew
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 David Buckalew JR, who also goes by Dave Buckalew, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2008 - November 4, 2019
EXECUTIVE SERVICES SECURITIES, LLC
November 10, 1998 - June 6, 2008
TBG FINANCIAL
August 6, 1996 - October 21, 1998
WESTPORT FINANCIAL SERVICES, L.L.C.
March 1, 1996 - August 8, 1996
MML INVESTORS SERVICES, LLC
October 13, 1995 - March 1, 1996
G. R. PHELPS & CO., 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
Current Firm
EXECUTIVE SERVICES SECURITIES, LLC
CRD#: 25299 / SEC#: , 8-41649
Contact information
FINRA licenses (49 States and Territories)
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.
