Charles P. Nason
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 Phillip Nason III, CFP®, who also goes by III Charles Phillip Nason, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017
Experience
August 20, 2019 - June 30, 2022
CITIZENS PRIVATE WEALTH
January 17, 2017 - January 8, 2020
CITIZENS SECURITIES, INC.
September 12, 2006 - February 8, 2007
NATWEST MARKETS SECURITIES INC.
March 6, 2006 - July 20, 2006
TRANSMARKET GROUP L.L.C.
May 11, 2005 - October 7, 2005
REFCO SECURITIES, LLC
August 11, 2004 - April 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1997 - April 20, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 1993 - December 11, 1996
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
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
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
