Charles D. Wiegert
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 Darcy Wiegert was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 53 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
April 2, 2012 - December 16, 2013
CENTRAL STATES CAPITAL MARKETS, LLC
March 27, 2012 - December 16, 2013
CENTRAL STATES CAPITAL MARKETS, LLC
November 27, 2007 - March 31, 2010
DEWAAY CAPITAL MANAGEMENT
November 27, 2007 - March 31, 2010
COMMERCE WEALTH ADVISERS, LLC
August 1, 2007 - March 31, 2010
DEWAAY FINANCIAL NETWORK, LLC
April 18, 2002 - July 31, 2006
NATALLIANCE SECURITIES, LLC
June 13, 2000 - November 30, 2001
KESTRA INVESTMENT SERVICES, LLC
March 29, 1999 - May 19, 2000
WALNUT STREET SECURITIES, INC.
March 18, 1998 - April 2, 1999
NORTH COAST SECURITIES CORPORATION
April 26, 1996 - March 6, 1998
SECURITIES SERVICE NETWORK, LLC
April 8, 1994 - October 12, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - March 24, 1994
CITIGROUP GLOBAL MARKETS INC.
April 28, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
April 22, 1992 - October 13, 1992
R.J. MOBLEY SECURITIES AND ADVISORY COMPANY
September 5, 1991 - October 22, 1991
HIBBARD BROWN & CO., INC.
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
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 27,936,117 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
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.
