Charles H. Doggett
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 Hamrick Doggett, who also goes by Charles Hamrick III Doggett, Rick Doggett, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2012 - June 7, 2012
AURIGA USA, LLC
January 18, 2006 - October 25, 2011
BREAN CAPITAL, LLC
June 2, 2005 - January 18, 2006
HALPERN CAPITAL, INC.
April 29, 2002 - December 17, 2004
RYAN BECK & CO.
October 16, 1998 - May 13, 2002
GRUNTAL & CO., L.L.C.
April 23, 1998 - October 16, 1998
GMS GROUP
October 14, 1988 - January 13, 1998
WACHOVIA SECURITIES, INC.
June 1, 1987 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
March 26, 1986 - June 12, 1987
THE ROBINSON-HUMPHREY COMPANY, LLC
September 24, 1985 - March 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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