Charles V. Blanchard
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 Vert Blanchard, who also goes by Charlie Blanchard, Chuck Blanchard, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1997 - December 31, 2013
SIGMA FINANCIAL CORPORATION
February 5, 1990 - August 20, 1997
MARINER FINANCIAL SERVICES, INC.
February 15, 1988 - February 20, 1990
LEHMAN BROTHERS INC.
September 1, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
June 30, 1986 - December 15, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 30, 1986 - December 15, 1987
EQUITABLE ADVISORS, LLC
September 20, 1984 - July 2, 1986
NEW ENGLAND SECURITIES
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
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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