Craig S. Fischer
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.
Craig Steven Fischer was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1988. Craig had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 1993 - March 20, 1995
JOSEPH CHARLES & ASSOC., INC.
May 11, 1993 - June 3, 1993
AMERIPRISE ADVISOR SERVICES, INC.
June 8, 1992 - October 28, 1992
CHATFIELD DEAN & CO., INC.
June 18, 1990 - October 11, 1990
IDS LIFE INSURANCE COMPANY
June 18, 1990 - October 11, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
May 25, 1989 - October 19, 1990
MORGAN STANLEY DW INC.
May 25, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, 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
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
