Charles A. Banks

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CRD#: 2254454

Professional summary

Charles Augustus Banks IV was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Charles had worked at 1 firm, which includes CSI CAPITAL MANAGEMENT INC.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Augustus Iv Banks

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

March 30, 2000 - September 27, 2011

CSI CAPITAL MANAGEMENT INC

RIA

CRD#: 106382

SANTA BARBARA, CA

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.

Exams

General Industry/Product Exam

Series 2

Date: 2/15/1994

Non-Member General Securities Examination

Current firm

No current employment

Red Flags

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