Charles E. Walters
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 Edward Walters JR, who also goes by Buddy Walters, Charles Edward Jr Walters, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2009 - May 28, 2016
THE BENCHMARK COMPANY, LLC
October 29, 2004 - November 20, 2008
UBS SECURITIES LLC
April 1, 2002 - November 1, 2004
UBS CAPITAL MARKETS L.P.
February 25, 1999 - March 27, 2002
DEUTSCHE IXE, LLC
September 17, 1992 - February 24, 1999
GOLDMAN SACHS & CO. LLC
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 55
Date: 8/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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