Charles A. Ferris
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 Alden Ferris was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2002 - December 1, 2004
THE DOCTOR'S VILLAGE
April 5, 2002 - December 31, 2014
THE THIRD AGE ASSOCIATION
June 4, 1997 - September 30, 1997
LASALLE ST SECURITIES, L.L.C.
January 6, 1994 - June 19, 1997
SECURITIES AMERICA, INC.
September 17, 1990 - September 30, 1993
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1985 - September 18, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
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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