Charles W. Willoughby
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 William Willoughby JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2009 - January 4, 2021
FFEC WEALTH PARTNERS LLC
July 23, 2009 - January 4, 2021
FFEC WEALTH PARTNERS LLC
April 9, 2001 - July 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2001 - July 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 1994 - April 3, 2001
WALNUT STREET SECURITIES, INC.
April 23, 1986 - September 15, 1994
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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