Charles A. Girling
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 Ashley Girling, who also goes by Charles Ashley Girling, Ashley Girling, C. Ashley Girling, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
Experience
June 13, 2024 - March 5, 2026
EQUITY SERVICES, INC.
June 13, 2024 - March 5, 2026
EQUITY SERVICES, INC.
April 29, 2024 - June 14, 2024
BANKERS LIFE ADVISORY SERVICES, INC.
April 29, 2024 - June 14, 2024
BANKERS LIFE SECURITIES, INC.
August 18, 2022 - April 9, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 15, 2022 - April 9, 2024
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2021 - July 8, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 5, 2017 - March 10, 2021
ALLSTATE FINANCIAL SERVICES, LLC
April 7, 1989 - July 29, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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: 9/11/2023
General Securities Representative ExaminationCurrent Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DAVID, ALEX MARCUS | PRESIDENT & CEO | 2421489 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FOX, CARRIE ANN | VP, FINOP | 5715395 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| NELSON, BRIAN WILBUR | VP, BUSINESS DEVELOPMENT | 3082595 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| PARRISH, SPENCER TODD | VP, PRINCIPAL FINANCIAL OFFICER AND TREASURER | 4125651 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 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.
