Charles Peter Chanin
Professional Summary
Charles Peter Chanin was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1986 - 1989. Charles had worked at 1 firm and has passed the Series 63, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | THE ROBINSON-HUMPHREY COMPANY, LLC | THE ROBINSON-HUMPHREY COMPANY INC. | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY ASSET MANAGEMENT | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | ROBINSON-HUMPHREY/AMERICAN EXPRESS INC. | ROBINSON-HUMPHREY COMPANY, INC. (THE) | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING GROUP | CONSULTING AND EVALUATION SERVICES
Contact Information
Established
Delaware since 09/03/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON SMITH BARNEY INC. | OWNER | 7059 |
| CLEMENTS, GEORGE BUNCH | SENIOR VICE PRESIDENT | 48542 |
| DAY, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER | 2344142 |
| JANIAK, A.RICHARD RICHARD JR | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| KUKLENSKI, KIRBY JUDE | EXECUTIVE VICE PRESIDENT | 732315 |
| MORGAN, MICHELLE MARIE | CROP | 2413332 |
| SORDIPREITE, VIRGINIA A | CHIEF COMPLIANCE OFFICER | 2007039 |
| STIDHAM, REESE MCGREGOR III | SENIOR VICE PRESIDENT | 808174 |
| SWIFT, HENRY WOODRUFF JR | SENIOR VICE PRESIDENT | 441328 |
| TRAYNOR, FRANCIS MOFFITT JR | SENIOR VICE PRESIDENT | 449006 |
| ZIMMERMAN, JOHN CONRAD JR | SENIOR VICE PRESIDENT | 476714 |
Disclosures
Regulatory Event
14Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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