Charles R. Stone
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 Ray Stone, who also goes by Chuck Stone, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1986. Charles had worked at 9 firms and has passed the Series 65, Series 63, Series 3 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
February 10, 2005 - March 14, 2006
GREENBOOK INVESTMENT MANAGEMENT, INC.
March 24, 2004 - December 6, 2004
INVESTORS SECURITY COMPANY, INC.
July 8, 2003 - July 20, 2004
XELAN FINANCIAL PLANNING, INC.
January 1, 2002 - April 1, 2002
LOCUST STREET SECURITIES, INC.
September 26, 1992 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
February 11, 1992 - September 22, 1992
KEOGLER, MORGAN & COMPANY, INC.
December 21, 1989 - February 14, 1992
WADDELL & REED
January 6, 1988 - March 23, 1988
FIRST STATE INVESTMENTS, INC.
August 19, 1986 - January 15, 1988
FIRST INVESTMENT SECURITIES, 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
Current firm
No current employment
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.
