Charles E. Reeves
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 Edward Reeves JR, who also goes by Ched Reeves, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 5 firms and has passed the Series 7, Series 22 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
July 21, 1989 - December 21, 1990
CAPITAL ONE INVESTMENTS, LLC
March 5, 1987 - December 19, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 9, 1986 - February 2, 1987
PLANVEST CAPITAL CORPORATION
October 22, 1985 - August 22, 1986
PILOT FINANCIAL SERVICES, INC.
November 15, 1984 - November 1, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
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
CAPITAL ONE INVESTMENTS, LLC
CRD#: 17526 / SEC#: , 8-35386
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE, N.A. | SOLE SHARE OWNER | |
| BARNES, DONALD JOSEPH II | MEMBER OF MANAGEMENT COMMITTEE | |
| COOPER, KEYAN MARIE | SROP/CROP | 4268042 |
| DEBLANC, RONALD JOSEPH | VP, CHIEF FINANCIAL OFFICER | 1672968 |
| DELO, DANIEL MARK | MUNICIPAL SECURITIES PRINCIPAL | 2242301 |
| EMIG, JANET CLARE | BROKERAGE OPERATIONS MANAGER | 4702727 |
| GOLDBERG, KENNETH L. | MEMBER OF MANAGEMENT COMMITTEE | 4053655 |
| LABENNE, ANDREW DENNIS | MEMBER OF MANAGEMENT COMMITTEE | 5460014 |
| LEE, DONALD PAUL | MEMBER OF MANAGEMENT COMMITTEE | 1174842 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER | 1182101 |
| TALBOT, MICHAEL MERRITT | MEMBER OF MANAGEMENT COMMITTEE/PRESIDENT & CEO | 1296293 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
