Charles R. Daugherty
Professional summary
Charles Roome Daugherty is a registered financial professional currently at KATAMA SECURITIES LLC located in Alpharetta, Georgia.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1989. Charles has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Roome Daugherty's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2003 - Present
KATAMA SECURITIES LLC
Office #1: 6250 Shiloh Road, Suite 30-3, Alpharetta, GA 30005January 14, 2003 - July 3, 2003
MIT ASSOCIATES, LLC
June 14, 1999 - January 28, 2002
DEUTSCHE BANK SECURITIES INC.
March 21, 1989 - June 14, 1999
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/30/2023)
(3/30/2023)
(9/2/2003)
(7/8/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/22/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
KATAMA SECURITIES LLC
CRD#: 124667 / SEC#: , 8-65708
Contact information
FINRA licenses (7 States and Territories)
Red Flags
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