Charles H. Jackson
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 Haynes Jackson JR, who also goes by Charles Jackson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 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
January 6, 2012 - April 21, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - April 21, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 17, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 23, 2009 - January 6, 2012
WORLD GROUP SECURITIES, INC.
November 30, 2005 - November 2, 2007
EQUITY SERVICES, INC.
December 10, 2002 - July 11, 2005
THE MALACHI GROUP, INC.
October 21, 1999 - February 25, 2002
JACKSON SHANKLIN & SONIA SECURITIES, LLC
August 28, 1997 - November 3, 1999
BOLTON GLOBAL CAPITAL
January 28, 1987 - August 8, 1997
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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: 9/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
