Charles E. Wadlington
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 Wadlington SR was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1992. Charles had worked at 8 firms and has passed the Series 65, Series 63 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
November 10, 2006 - April 17, 2008
BROOKSTONE SECURITIES, INC.
January 13, 2005 - May 4, 2005
USALLIANZ SECURITIES, INC.
June 8, 1999 - December 31, 2002
LEGACY ADVISORY SERVICES, INC.
January 4, 1999 - December 31, 2004
LEGACY FINANCIAL SERVICES, INC.
January 1, 1998 - November 16, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 19, 1997 - January 1, 1998
NATIONSSECURITIES
April 19, 1995 - February 19, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 25, 1992 - April 28, 1995
PRUDENTIAL EQUITY GROUP, 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
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
