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CF

Charles E. Fleming

Some features on this profile are disabled
CRD#: 1447158
CF

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 Fleming was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 24, 2006 - December 15, 2009

CULLUM & BURKS SECURITIES, INC.

BD
CRD#: 46600
EULISS, TX
Past

August 16, 2002 - June 8, 2005

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

January 17, 2001 - September 4, 2002

RUSHMORE SECURITIES CORPORATION

BD
CRD#: 8392
DALLAS, TX
Past

June 8, 1998 - March 8, 2001

NORTHSTAR SECURITIES, INC.

BD
CRD#: 11247
DALLAS, TX
Past

October 16, 1996 - December 9, 1998

DOMINION CAPITAL CORPORATION

BD
CRD#: 18837
DALLAS, TX
Past

December 18, 1986 - October 17, 1996

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/7/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

C&
CULLUM & BURKS SECURITIES, INC.
COVENANT FINANCIAL SERVICES | WEALTH MANAGEMENT GROUP | SMILEY ELMORE AND ASSOCIATES | RIGHT CHOICE FINANCIAL | MEGA CAPITAL | KNS SOLUTIONS, INC. | INSIGHT FINANCIAL GROUP | HOPPER FINANCIAL SERVICES | HLW ADVISORS | GANNETT GROUP/AIRPARK | FLEMING, OLIVER, AND ASSOCIATES | FINANCIAL DESTINY | CULLUM & BURKS SECURITIES, INC.

CRD#: 46600 / SEC#: , 8-51487

BD
Terminated by SEC on 07/19/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 11/13/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CULLUM & BURKS, INC.100% SHAREHOLDER
BURKS, STEVEN LYNNPRESIDENT/CHIEF LEGAL AND OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER1466048
CULLUM, THOMAS TIMOTHYCHAIRMAN/CEO/SECRETARY58464
KELL, WILLIAM DAVIDVP/SROP1919035

Disclosures

Regulatory Event4
Civil Event1
Arbitration3

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

CULLUM & BURKS SECURITIES, INC.

CRD#: 46600

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