Charles E. White
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 White was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1986. Charles had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2005 - April 26, 2006
MOORS & CABOT FINANCIAL ADVISORS, LLC
July 2, 2003 - May 1, 2006
ANALYTICAL PORTFOLIO SOLUTIONS, LLC
January 14, 2003 - June 6, 2006
MOORS & CABOT INC
February 19, 1998 - December 31, 2005
MOORS & CABOT, INC.
July 31, 1993 - February 2, 1998
CITIGROUP GLOBAL MARKETS INC.
April 7, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
August 21, 1986 - April 16, 1993
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/27/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOORS & CABOT FINANCIAL ADVISORS, LLC
CRD#: 132798 / SEC#: , 8-66633
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
