Charles P. Elliott
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.
Charles Phillip Elliott was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 2 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1975 - March 31, 1987
ELLIOTT SECURITIES, INC.
April 2, 1973 - November 17, 1975
FORTINER INVESTMENT CORPORATION
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
Series 1
Date: 3/24/1973
Registered Representative ExaminationSeries 00
Date: 1/25/1975
General Securities Principal ExaminationCurrent Firm
ELLIOTT SECURITIES, INC.
CRD#: 6876 / SEC#: , 8-18315
Contact information
Documents
Red Flags
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