Charles T. Finley

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CRD#: 2213439

Professional summary

Charles Todd Finley was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Charles had worked at 11 firms, which includes ANDREW GARRETT INC., CHICAGO INVESTMENT GROUP LLC, MML INVESTORS SERVICES LLC, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., AMERIPRISE ADVISOR SERVICES INC., NATIONWIDE INVESTMENT SERVICES CORPORATION, MORGAN STANLEY DW INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, VSR FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Finley

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

June 21, 2004 - May 4, 2006

ANDREW GARRETT INC.

CRD#: 29931

NEW YORK, NY

Past

April 30, 2003 - June 21, 2004

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

August 30, 2001 - June 27, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 14, 2000 - May 15, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 23, 1999 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

July 28, 1999 - August 27, 1999

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

June 25, 1998 - March 5, 1999

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

May 14, 1997 - April 29, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 3, 1997 - May 2, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 3, 1997 - May 2, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 27, 1996 - December 31, 1996

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ANDREW GARRETT INC.

ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.

CRD#: 29931 / SEC#: 801-71581, 8-44659

RIA

Registered Investment Advisory firm - SEC (7/6/2010 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/6/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Montana

Registered Investment Advisory firm - SEC (3/14/2019 Terminated)

New York

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/19/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/24/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/2/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/6/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

ANDREW GARRETT INC.

ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.

CRD#: 29931 / SEC#: 801-71581, 8-44659

RIA

Registered Investment Advisory firm - SEC (7/6/2010 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/6/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Montana

Registered Investment Advisory firm - SEC (3/14/2019 Terminated)

New York

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

230 Park Ave 3rd Floor West, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-8833

Established

Delaware since 04/19/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ANDREW GARRETT, INC. (10/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ANDREW GARRETT HOLDING CORP	OWNER
ESTATE OF JESSE UPCHURCH	SHARE HOLDER
PLAINS CAPITAL BANK	EXECUTOR OF ESTATE
CANNIZZARO-FONG, JANNELLE LYNN	CHIEF FINANCIAL OFFICER/FINOP	4249300
MAURER, MARK HENRY	CHIEF COMPLIANCE OFFICER
MAURER, MARK HENRY	CHIEF COMPLIANCE OFFICER	1496683
MITCHELL, JAMES ROBERT JR	CHIEF ADMINISTRATIVE OFFICER	1374268
SYCOFF, ANDREW GARRETT	CHIEF EXECUTIVE OFFICER/DIRECTOR	2119089

Regulatory assets under management

Total Number of Accounts	1,402
AUM (Assets Under Management)	$ 663,049,158

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Charles T. Finley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHICAGO INVESTMENT GROUP, LLC

MML INVESTORS SERVICES, LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

AMERIPRISE ADVISOR SERVICES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ANDREW GARRETT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/1997

Series 63

Date: 9/26/1996

Series 31

Date: 6/19/1997

Series 7

Date: 9/24/1996

Series 24

Date: 6/26/2003

Series 10

Date: 3/2/2001

Series 9

Date: 11/6/2000

Current Firm

ANDREW GARRETT INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ANDREW GARRETT INC.

TRUST BUT VERIFY

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