Charlene K. Farkas
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.
Charlene Kay Farkas, CFP®, who also goes by Charlene Begger, Charlene K Farkas, was a registered financial professional .
Charlene is a previously registered financial professional and started their career in finance in 1987. Charlene had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
August 27, 2008 - June 30, 2023
LNW
August 10, 1988 - February 14, 1991
CAPITAL BROKERAGE CORPORATION
February 4, 1987 - July 14, 1988
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
LNW
CRD#: 113400 / SEC#: 801-60345
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
LNW
CRD#: 113400 / SEC#: 801-60345
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,463 |
| AUM (Assets Under Management) | $ 4,526,284,775 |
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.
