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Charlie J. Harrison

ANDES CAPITAL GROUP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1376362
CH

Professional summary

Charlie James Harrison III is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.

Charlie is registered as a RR (Registered Representative) and started their career in finance in 1987. Charlie has worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charlie James Harrison III's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 28, 2017 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606
BD
CRD#: 139212
Chicago, IL
Past

August 3, 2016 - March 27, 2017

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

January 3, 2012 - December 6, 2013

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
PONTIAC, MI
Past

April 27, 2010 - December 2, 2011

ALLEGIANT SECURITIES L.L.C.

BD
CRD#: 133912
MIAMI, FL
Past

November 18, 2008 - April 30, 2010

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
30 N SAGINAW, MI
Past

July 2, 1999 - October 20, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PONTIAC, MI
Past

March 10, 1995 - June 30, 1999

PROFESSIONAL ASSET MANAGEMENT, INC.

BD
CRD#: 21125
TROY, MI
Past

May 21, 1993 - April 3, 1995

WOODWARD SECURITIES CORPORATION

BD
CRD#: 25579
Past

November 19, 1992 - November 9, 1993

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

April 30, 1987 - January 24, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

April 30, 1987 - January 24, 1991

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
Illinois
(3/29/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/29/1987
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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.

Company Information

ANDES CAPITAL GROUP, LLC

CRD#: 139212Chicago, IL 60606

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