Charles E. Waterfall
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 Waterfall, who also goes by Skip Waterfall, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 7 firms and has passed the Series 63, Series 7 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
April 8, 1996 - December 18, 2007
EQUITAS AMERICA, LLC
May 21, 1991 - April 10, 1996
MARINER FINANCIAL SERVICES, INC.
February 16, 1990 - May 29, 1991
PCI FINANCIAL SERVICES, INC.
October 10, 1989 - March 30, 1990
ANDREW ALEN SECURITIES, INC.
April 27, 1989 - October 17, 1989
ALISON, BAER SECURITIES INC.
October 21, 1988 - April 26, 1989
KOBER FINANCIAL CORP.
August 20, 1987 - November 5, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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
EQUITAS AMERICA, LLC
CRD#: 39806 / SEC#: , 8-48840
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| 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.
