Charles C. Gleason
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 Cook Gleason, who also goes by Chuck Gleason, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2010 - February 20, 2013
CANTELLA & CO., INC.
October 29, 2010 - February 20, 2013
CANTELLA & CO., INC.
March 9, 2010 - November 4, 2010
NEXITY FINANCIAL SERVICES, INC.
March 8, 2010 - November 4, 2010
NEXITY FINANCIAL SERVICES, INC.
January 2, 2009 - March 8, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 30, 1991 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 1991 - March 8, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 1987 - February 5, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 14, 1972 - December 15, 1986
MUTUAL SERVICE CORPORATION
May 7, 1970 - February 20, 1972
INVESTOR SERVICES GENERAL CORPORATION
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
Series 1
Date: 7/18/1968
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
