Charles A. Bell
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 Anthony Bell was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 1995 - February 1, 2020
BERNARD HEROLD & CO., INC.
August 8, 1994 - December 21, 1994
OPPENHEIMER & CO. INC.
January 21, 1991 - August 8, 1994
REICH & CO., INC.
January 17, 1990 - December 31, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
April 28, 1980 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
March 20, 1979 - April 26, 1980
FITTIN, CUNNINGHAM & LAUZON, INC.
November 9, 1977 - April 2, 1979
B-R SECURITIES CORP.
January 23, 1976 - May 23, 1980
THOMSON MCKINNON SECURITIES INC.
August 31, 1973 - December 21, 1975
TODD AND COMPANY, INC.
December 6, 1972 - September 30, 1973
CHRISTIAN-PAINE & CO., INC
November 16, 1971 - January 20, 1973
CARLTON-CAMBRIGE & CO 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
PC
Date: 6/4/1985
AMEX Put and Call ExamSeries 1
Date: 11/11/1971
Registered Representative ExaminationSeries 8
Date: 6/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| 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.
