Shaun P. Attwood
Professional summary
Shaun Patrick Attwood was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shaun is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Shaun had worked at 5 firms, which includes JOSEPH CHARLES & ASSOC. INC., FAIRCHILD FINANCIAL GROUP INC., AMERICAN FRONTEER FINANCIAL CORPORATION, YAEGER SECURITIES INC., KOBER FINANCIAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1994 - July 28, 1997
JOSEPH CHARLES & ASSOC., INC.
April 2, 1993 - March 18, 1994
FAIRCHILD FINANCIAL GROUP, INC.
August 20, 1992 - April 5, 1993
AMERICAN FRONTEER FINANCIAL CORPORATION
October 23, 1991 - August 24, 1992
YAEGER SECURITIES, INC.
June 12, 1991 - October 23, 1991
KOBER FINANCIAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH CHARLES & ASSOC., INC.
CRD#: 3949 / SEC#: , 8-12410
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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