Charles E. Myers
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 Edward Myers II, who also goes by C Ed Myers II, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1990. Charles had worked at 8 firms and has passed the Series 63, Series 66, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2023 - April 3, 2026
CUNA BROKERAGE SERVICES, INC.
May 15, 2009 - October 4, 2010
PRINCIPAL SECURITIES, INC.
May 6, 2009 - October 4, 2010
PRINCIPAL SECURITIES, INC.
October 25, 2001 - May 10, 2004
UBS FINANCIAL SERVICES INC.
October 19, 2001 - May 10, 2004
UBS FINANCIAL SERVICES INC.
February 28, 1997 - October 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1994 - January 27, 1997
CUNA BROKERAGE SERVICES, INC.
March 16, 1993 - September 6, 1994
WESTERN FINANCIAL CORPORATION
March 10, 1992 - March 10, 1993
CUNA BROKERAGE SERVICES, INC.
September 24, 1991 - March 25, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 24, 1991 - March 25, 1992
SIGNATOR INVESTORS, INC.
November 12, 1990 - August 26, 1991
GREEN HILL FINANCIAL SERVICE 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 6TO
Date: 2/6/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| 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.
