Charles L. Bolton
Professional summary
Charles Louis Bolton III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Charles had worked at 3 firms, which includes ADVANTAGE CAPITAL CORPORATION, SENTRA SECURITIES CORPORATION, AMERICAN CAPITAL CONTRACTUAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 1988 - December 20, 2005
ADVANTAGE CAPITAL CORPORATION
October 26, 1988 - December 12, 1988
SENTRA SECURITIES CORPORATION
October 30, 1987 - February 9, 1988
ADVANTAGE CAPITAL CORPORATION
October 30, 1987 - October 29, 1988
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ADVANTAGE CAPITAL CORPORATION
CRD#: 146 / SEC#: , 8-5072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP INC. | SHAREHOLDER | |
| FIELDS, INGER WILSON | FNOP | 1690043 |
| KRUSSEL, PETER | CHIEF COMPLIANCE OFFICER | 2534106 |
| PEET, WILLIAM GERARD | MUNICIPAL PRINCIPAL | 2139630 |
| PRATER, HELEN HOWARD | COO | 1354495 |
| ROTH, RALPH LAWRENCE | DIRECTOR | 1432179 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR/SVP/TREASURER/CFO | 1292456 |
| SCHLAFLY, MARK JOSEPH | PRESIDENT/CEO | 1091509 |
| SHIPLEY, THOMAS ALLEN | SVP | 422266 |
| SORKIN, NOAH DAVID | DIRECTOR | |
| WELLS, THOMAS MELVIN | CLO, SVP, SECRETARY | 731190 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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