Charles W. Carr
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 Wesley Carr 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, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2011 - April 3, 2017
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 23, 2009 - May 24, 2011
EAGLE STRATEGIES LLC
May 8, 2006 - April 3, 2017
NYLIFE DISTRIBUTORS LLC
April 23, 2003 - August 16, 2005
FUNDS DISTRIBUTOR, LLC
January 4, 2000 - May 29, 2001
FUNDS DISTRIBUTOR, LLC
October 25, 1993 - January 3, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 4, 1985 - August 19, 1992
DELAWARE DISTRIBUTORS, L.P.
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
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
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
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.
