Charles M. Blair
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 Melville Blair was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 8 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2000 - October 25, 2000
WESTERN INTERNATIONAL SECURITIES, INC.
June 29, 1976 - November 3, 1976
BIRR, WILSON & CO., INC.
October 4, 1974 - May 26, 2000
C. M. BLAIR, W. O. FOSTER & CO., INC.
July 11, 1973 - October 4, 1974
BLAIR CASS & CO INC
July 14, 1972 - May 26, 1973
MORGENSTERN LEVINE WEISSMAN INC
December 9, 1971 - August 9, 1972
EXECUTIVE SECURITIES CORP.
February 25, 1971 - December 26, 1971
CALIFORNIA INVESTORS INCORPORATED
November 12, 1970 - February 22, 1971
I I SECURITIES & CO
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: 8/15/1968
Registered Representative ExaminationF04
Date: 5/21/1973
Financial Principal ExaminationSeries 00
Date: 7/26/1971
General Securities Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
