Charles E. Ingram
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 Edward Ingram, who also goes by Chuck Ingram, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 17 firms and has passed the Series 63, Series 65, Series 7TO, SIE, 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
June 18, 2018 - June 19, 2020
TRUIST SECURITIES, INC.
August 26, 2013 - May 18, 2016
ALLUVION SECURITIES, LLC
October 6, 2011 - June 28, 2013
MEMPHIS CAPITAL MANAGEMENT, LLC
March 2, 2011 - August 26, 2011
COMMERCE STREET INVESTMENT MANAGEMENT
October 15, 2010 - August 26, 2011
COMMERCE STREET CAPITAL, LLC
April 16, 2009 - July 21, 2010
STERNE, AGEE & LEACH, INC.
February 19, 2008 - August 18, 2008
SAMCO CAPITAL MARKETS, INC.
May 19, 2006 - September 12, 2007
SAMCO CAPITAL MARKETS, INC.
July 19, 2004 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
May 26, 2000 - July 20, 2004
NBC CAPITAL MARKETS GROUP, INC.
August 4, 1997 - May 8, 2000
MORGAN KEEGAN & COMPANY, LLC
September 28, 1995 - December 23, 1996
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 23, 1995 - September 20, 1995
WACHOVIA SECURITIES, INC.
September 14, 1992 - November 30, 1994
MERIDIAN SECURITIES, INC.
August 1, 1990 - May 4, 1992
APS FINANCIAL CORPORATION
March 22, 1989 - August 6, 1990
MORGAN STANLEY DW INC.
October 3, 1988 - January 23, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
February 26, 1987 - October 3, 1988
UMIC, 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: 7/20/2022
General Securities Representative ExaminationCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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.
