Charles W. Gushee
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 Washburn Gushee 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 63, Series 55, Series 7, Series 3 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
June 7, 2006 - April 4, 2007
KEPLER CAPITAL MARKETS, INC.
May 18, 2006 - June 4, 2014
AUERBACH GRAYSON & COMPANY LLC
July 18, 2001 - May 12, 2006
JULIUS BAER SECURITIES INC.
December 15, 1992 - April 27, 2001
COWEN AND COMPANY
June 3, 1987 - June 7, 1988
CITIGROUP GLOBAL MARKETS INC.
February 21, 1985 - June 12, 1987
E. F. HUTTON & COMPANY INC
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
Series 55
Date: 11/21/2005
Limited Representative-Equity Trader ExamCurrent Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
