Charles D. Bales
Professional summary
Charles Douglas Bales, who also goes by Doug Bales, is a registered financial advisor currently at WHITEWATER WEALTH located in Eugene, Oregon.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Douglas Bales's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 26, 2013 - Present
WHITEWATER WEALTH
December 6, 2013 - November 14, 2016
LPL FINANCIAL LLC
January 13, 2006 - December 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2006 - December 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2003 - February 1, 2006
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - February 1, 2006
CITIGROUP GLOBAL MARKETS INC.
June 14, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
December 20, 1988 - June 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/28/2016)
(12/26/2013)
Exams
Current Firm
WHITEWATER WEALTH
CRD#: 169233 / SEC#: 801-78843
Contact information
Regulatory assets under management
| Total Number of Accounts | 81 |
| AUM (Assets Under Management) | $ 58,000,000 |
Red Flags
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