Charlotte L. Millett
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.
Charlotte Levkov Millett, who also goes by Charlotte L Rose, Charlotte Levkov Rose, was a registered financial professional .
Charlotte is a previously registered financial professional and started their career in finance in 1986. Charlotte had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 53, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2011 - May 5, 2016
NATIONAL PLANNING CORPORATION
December 22, 2009 - May 5, 2016
NATIONAL PLANNING CORPORATION
February 11, 2008 - November 12, 2009
ASSOCIATED SECURITIES CORP.
February 11, 2008 - December 23, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
February 11, 2008 - November 12, 2009
ASSOCIATED SECURITIES CORP.
January 5, 2007 - February 12, 2008
COURTLANDT SECURITIES CORPORATION
October 17, 2003 - November 15, 2006
FIRST BROKERAGE AMERICA, L.L.C.
August 26, 2003 - October 13, 2003
NEW ENGLAND SECURITIES
June 5, 2003 - October 13, 2003
NEW ENGLAND SECURITIES
July 13, 1999 - February 10, 2003
U.S. BANCORP INVESTMENTS, INC.
October 8, 1998 - May 18, 1999
PRUCO SECURITIES, LLC.
September 3, 1997 - March 26, 1998
U.S. BANCORP INVESTMENTS, INC.
January 23, 1997 - September 3, 1997
U.S. BANCORP SECURITIES
July 9, 1996 - December 18, 1996
ASB FINANCIAL SERVICES
March 8, 1993 - July 15, 1996
INVEST FINANCIAL CORPORATION
February 28, 1992 - February 12, 1993
CAPITAL BROKERAGE CORPORATION
March 28, 1991 - December 31, 1991
WOODBURY FINANCIAL SERVICES, INC.
October 29, 1986 - March 12, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 29, 1986 - March 12, 1991
PRUCO SECURITIES, LLC.
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
