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Charles M. Powell

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CRD#: 1319598
CP

Professional summary

Charles Martin Powell was barred by the SEC 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 1984. Prior to being barred, Charles had worked at 3 firms, which includes SHERIDAN SECURITIES INC, GLOBAL CAPITAL SECURITIES CORPORATION, WALL STREET WEST INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Powell

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

July 17, 1987 - May 4, 1990

SHERIDAN SECURITIES INC

BD
CRD#: 11649
Past

June 5, 1987 - July 11, 1987

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

December 19, 1984 - May 3, 1985

WALL STREET WEST, INC.

BD
CRD#: 7529

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

General Industry/Product Exam
RR
Series 7
Date: 12/15/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/1987
General Securities Principal Examination

Current Firm

SS
SHERIDAN SECURITIES INC
SHERIDAN SECURITIES INC

CRD#: 11649 / SEC#: , 8-26426

BD
Terminated by FINRA on 05/04/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 05/05/1981
Firm type
Corporation
Fiscal year end
April
# of Employees

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.

Company Information

SHERIDAN SECURITIES INC

CRD#: 11649

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