Charles S. Friedlaender
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 Stephen Friedlaender was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1967. Charles had worked at 4 firms and has passed the Series 63, SIE, PC, Series 16, 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
January 11, 1993 - July 1, 2016
SHELBY CULLOM DAVIS & CO., L.P.
August 28, 1989 - January 23, 1993
DOMINICK & DICKERMAN LLC
October 24, 1973 - September 12, 1989
THOMSON MCKINNON SECURITIES INC.
April 10, 1967 - November 2, 1973
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
PC
Date: 2/27/1991
AMEX Put and Call ExamSeries 1
Date: 10/31/1956
Registered Representative ExaminationSeries 00
Date: 12/13/1971
General Securities Principal ExaminationCurrent Firm
SHELBY CULLOM DAVIS & CO., L.P.
CRD#: 767 / SEC#: , 8-75
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHELBY DAVIS TRUST B, SHELBY M.C. DAVIS & CHRISTOPHER C. DAVIS TRUSTEES | LIMITED PARTNER | |
| SHELBY DAVIS TRUST A, SHELBY M.C. DAVIS & CHRISTOPHER C. DAVIS TRUSTEES | LIMITED PARTNER | |
| DAVIS, CHRISTOPHER CULLOM | TRUSTEE | |
| DAVIS, SHELBY MOORE CULLOM | TRUSTEE | |
| FRAZIA, ANTHONY | OPERATIONS PRINCIPAL/CHIEF COMPLIANCE OFFICER/CROP/EXECUTIVE REGISTERED REPRESENTIVE | 1829919 |
| FRIEDLAENDER, CHARLES STEPHEN | SALES PRINCIPAL | 214448 |
| ROSANOFF, WARREN MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, SECURITIES LENDING SUPERVISOR | 1861250 |
| SHELBY DAVIS TRUST A, SHELBY M.C. DAVIS & CHRISTOPHER C. DAVIS TRUSTEES | TRUSTEE/GENERAL PARTNER |
Disclosures
| Regulatory Event | 7 |
Red Flags
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