Charles E. Cornett
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 Edmondson Cornett, who also goes by Charlie Cornett, 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 65, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2024 - August 17, 2026
NEWEDGE SECURITIES, LLC
August 1, 2018 - January 21, 2021
PERSHING ADVISOR SOLUTIONS LLC
April 6, 2006 - August 18, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 21, 1997 - March 22, 2006
CHARLES SCHWAB & CO., INC.
April 21, 1995 - February 13, 1997
AMERICAN INVESTMENT SERVICES, INC.
March 23, 1989 - October 18, 1993
SCOTT & STRINGFELLOW, INC.
January 5, 1988 - December 19, 1988
ROBERT THOMAS SECURITIES, INC
October 21, 1987 - December 22, 1987
RAYMOND JAMES & ASSOCIATES, 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 7TO
Date: 12/2/2022
General Securities Representative ExaminationSeries 8
Date: 7/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 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.
