CT
Charles R. Talcott Ii
BANKERS LIFE SECURITIES
CHICAGO, IL 60601
Some features on this profile are disabled
CRD#: 1376091
CT
Professional summary
Charles Roswell Talcott Ii, who also goes by Charles Roswell Talcott II, Chuck Talcott, is a registered financial professional currently at BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1991. Charles has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Roswell Talcott Ii | Chuck Talcott
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Charles Roswell Talcott Ii's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 15, 2015 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601BD
CRD#: 173962
CHICAGO, IL
Past
August 5, 2009 - February 11, 2015
SCOTTRADE, INC.
BD
CRD#: 8206
NORTHBROOK, IL
Past
December 8, 2005 - February 27, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
BD
CRD#: 137115
CHICAGO, IL
Past
May 1, 2002 - December 31, 2005
HARRISDIRECT LLC
BD
CRD#: 42159
SAN FRANCISCO, CA
Past
May 6, 1991 - May 1, 2002
HARRIS INVESTORLINE INC.
BD
CRD#: 6362
SEATTLE, WA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/9/2016)
RR
Alaska(5/9/2016)
RR
Arizona(5/9/2016)
RR
Arkansas(5/9/2016)
RR
California(1/27/2016)
RR
Colorado(5/9/2016)
RR
Connecticut(1/27/2016)
RR
Delaware(1/27/2016)
RR
District of Columbia(1/27/2016)
RR
Florida(1/27/2016)
RR
Georgia(5/9/2016)
RR
Hawaii(5/9/2016)
RR
Idaho(5/9/2016)
RR
Illinois(10/15/2015)
RR
Indiana(1/27/2016)
RR
Iowa(5/9/2016)
RR
Kansas(5/9/2016)
RR
Kentucky(5/9/2016)
RR
Louisiana(5/9/2016)
RR
Maine(5/9/2016)
RR
Maryland(1/27/2016)
RR
Massachusetts(1/27/2016)
RR
Michigan(1/27/2016)
RR
Minnesota(5/9/2016)
RR
Mississippi(5/9/2016)
RR
Missouri(1/27/2016)
RR
Montana(5/9/2016)
RR
Nebraska(5/9/2016)
RR
Nevada(5/9/2016)
RR
New Hampshire(1/27/2016)
RR
New Jersey(1/27/2016)
RR
New Mexico(5/9/2016)
RR
New York(1/27/2016)
RR
North Carolina(1/27/2016)
RR
North Dakota(5/9/2016)
RR
Ohio(5/9/2016)
RR
Oklahoma(5/9/2016)
RR
Oregon(5/9/2016)
RR
Pennsylvania(1/27/2016)
RR
Rhode Island(5/9/2016)
RR
South Carolina(5/9/2016)
RR
South Dakota(5/9/2016)
RR
Tennessee(5/9/2016)
RR
Texas(5/9/2016)
RR
Utah(5/9/2016)
RR
Vermont(1/27/2016)
RR
Virginia(1/27/2016)
RR
Washington(5/9/2016)
RR
West Virginia(1/27/2016)
RR
Wisconsin(5/9/2016)
RR
Wyoming(5/9/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BL
BANKERS LIFE SECURITIES, INC.
BANKERS LIFE | BL SECURITIES, INC. | BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 E Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Phone number
(844) 553-9083
Established
Indiana since 07/31/2014
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
