Charles E. White
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 Edward White II, who also goes by Chad White, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 62, 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 15, 1992 - November 5, 2020
BARRETT & COMPANY
May 13, 1987 - May 7, 1992
AMERICAN SECURITIES & RESEARCH CORPORATION
September 16, 1986 - May 14, 1987
COMMONWEALTH FINANCIAL NETWORK
October 21, 1985 - August 25, 1986
INVESTMENT BROKERS OF AMERICA
March 8, 1985 - November 1, 1985
WADDELL & REED
Primary Firm SEC Registration
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
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 62
Date: 10/21/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
BARRETT & COMPANY
CRD#: 1175 / SEC#: 801-110786, 8-44856
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAVILLE, WILSON GORDON II | PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER, & CHIEF FINANCIAL OFFICER | 1406756 |
Regulatory assets under management
| Total Number of Accounts | 1,040 |
| AUM (Assets Under Management) | $ 453,480,963 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
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.
