Charles J. Principato
Professional summary
Charles Joseph Principato JR was barred by the SEC 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 1990. Prior to being barred, Charles had worked at 2 firms, which includes R.D. WHITE & CO. INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1996 - July 19, 1999
R.D. WHITE & CO., INC.
August 22, 1990 - May 2, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
R.D. WHITE & CO., INC.
CRD#: 7011 / SEC#: , 8-38788
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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