Charles B. Huffer
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 Burnham Huffer was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 7 firms and has passed the Series 66, SIE, 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
December 8, 2011 - November 3, 2016
NPB FINANCIAL GROUP, LLC
August 16, 2010 - November 3, 2016
NPB FINANCIAL GROUP, LLC
January 20, 2000 - August 17, 2010
NATIONAL PLANNING CORPORATION
July 8, 1997 - August 25, 2017
KIPP FINANCIAL GROUP, INC.
September 23, 1993 - February 11, 2000
ASSOCIATED SECURITIES CORP.
August 13, 1991 - October 12, 1993
OSAIC WEALTH, INC.
February 1, 1990 - August 2, 1991
GS2 SECURITIES, INC.
November 19, 1989 - January 31, 1990
OSAIC WEALTH, INC.
October 3, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 23, 1985 - September 12, 1986
ASSOCIATED SECURITIES CORP.
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
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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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