Charles E. Fuller
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 Fuller JR, who also goes by Charles Edward Fuller, Chuck Fuller, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 9 firms and has passed the Series 63, SIE 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
September 13, 2017 - April 18, 2018
VANDERBILT SECURITIES, LLC
September 12, 2017 - December 31, 2018
VANDERBILT ADVISORY SERVICES
July 1, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
September 9, 2003 - December 18, 2015
MSI FINANCIAL SERVICES, INC.
August 21, 2003 - August 6, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
August 21, 2003 - September 5, 2013
WALNUT STREET SECURITIES, INC.
August 21, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
September 7, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 7, 2000 - December 18, 2015
MSI FINANCIAL SERVICES, INC.
August 20, 1987 - October 29, 1999
AMERIPRISE FINANCIAL SERVICES, 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
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| 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.
