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Christian J. Hainsworth

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CRD#: 2113138
CH

Professional summary

Christian Joseph Hainsworth was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christian is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Christian had worked at 2 firms, which includes JOSEPH CHARLES & ASSOC. INC., MEYERS POLLOCK ROBBINS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christian Hainsworth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 1, 1997 - June 6, 1997

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

January 15, 1997 - June 11, 1997

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/12/1990
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/1997
General Securities Principal Examination

Current Firm

JC
JOSEPH CHARLES & ASSOC., INC.
COOPER INVESTMENTS, INC. | JOSEPH CHARLES & ASSOCIATES, INC. | JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949 / SEC#: , 8-12410

BD
Terminated by SEC on 01/16/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/06/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JOSEPH CHARLES & COMPANYSHAREHOLDER
PINTSOPOULOS, ANTHONY CDIRECTOR OF COMPLIANCE3216357
SPITLER, ROBERT PENDLETONFINANCIAL OPERATIONS (FN)4050312
VISCONTI, JOSEPH CHARLESPRESIDENT/CEO/DIRECTOR1434573

Disclosures

Regulatory Event11
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

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