Charles E. Teeter
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 Edwin Teeter, who also goes by Charles Edwin Teeter Jr, Charles Teeter, Chuck Teeter, Jr Teeter, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - August 1, 2023
NEXT FINANCIAL GROUP, INC.
September 14, 2015 - August 1, 2023
NEXT FINANCIAL GROUP, INC.
May 20, 2010 - September 18, 2015
PRINCIPAL SECURITIES, INC.
May 6, 2010 - September 18, 2015
PRINCIPAL SECURITIES, INC.
May 24, 2006 - May 4, 2010
GEARY SECURITIES, INC.
January 16, 2003 - December 31, 2004
GEARY SECURITIES, INC.
June 1, 1995 - May 4, 2010
GEARY SECURITIES, INC.
June 20, 1991 - June 1, 1995
STIFEL, NICOLAUS & COMPANY, 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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
