Charles M. Best
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 Mccomber Best was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 5, PC, Series 1, Series 24, Series 4 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
April 17, 2020 - October 11, 2023
RHODES SECURITIES, INC.
April 20, 2006 - April 22, 2020
ALLIANCE FINANCIAL GROUP, INC.
March 29, 2006 - October 24, 2023
CAPITAL IDEAS
December 1, 2003 - May 12, 2006
AWM SERVICES, LLC
September 17, 2002 - May 31, 2006
LIBERTY FUNDS GROUP
June 14, 2002 - May 12, 2006
AWM SERVICES, LLC
April 9, 1999 - September 27, 2000
JOHN HANCOCK DISTRIBUTORS LLC
June 1, 1994 - December 31, 1995
VOYA FINANCIAL ADVISORS, INC.
February 12, 1991 - June 13, 2002
BELMONT ASSET MANAGEMENT, INC.
January 8, 1991 - February 7, 1991
CITIGROUP GLOBAL MARKETS INC.
September 13, 1989 - November 26, 1990
CITIGROUP GLOBAL MARKETS INC.
July 27, 1978 - June 16, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - September 22, 1978
MORGAN STANLEY DW INC.
March 29, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
March 7, 1969 - May 26, 1974
R W PRESSPRICH & CO INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamSeries 1
Date: 3/1/1968
Registered Representative ExaminationSeries 00
Date: 2/25/1969
General Securities Principal ExaminationCurrent Firm
RHODES SECURITIES, INC.
CRD#: 19610 / SEC#: , 8-37689
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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