Charles J. Carter
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 Jeffrey Carter, who also goes by Charles Jeffrey Gay, Jeff Gay, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 27 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
March 18, 2015 - October 25, 2016
COREBRIDGE CAPITAL SERVICES, INC.
November 10, 2005 - April 30, 2013
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
March 21, 1995 - May 24, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
June 17, 1992 - February 19, 2002
AGF INVESTMENT CORP.
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
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
