Charles D. Harbey
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 David Harbey, who also goes by Chuck Harbey, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 10 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2023 - January 4, 2024
EASTGATE SECURITIES, LLC
November 24, 2015 - January 22, 2021
EASTGATE SECURITIES, LLC
July 1, 2011 - July 1, 2015
LEGEND SECURITIES, INC.
December 17, 2010 - July 1, 2011
TRANSCEND CAPITAL
July 2, 2008 - December 31, 2010
NWT FINANCIAL GROUP, LLC
February 6, 2007 - June 30, 2008
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
April 2, 2002 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
February 7, 1997 - March 19, 2002
CELADON FINANCIAL GROUP LLC
April 16, 1996 - January 28, 1997
JOSEPH STEVENS & CO., INC.
May 12, 1994 - March 9, 1995
D. H. BLAIR & CO., INC.
March 31, 1993 - May 12, 1994
H.J. MEYERS & CO., INC.
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 7TO
Date: 2/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 2/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/5/1999
Limited Representative-Equity Trader ExamCurrent Firm
EASTGATE SECURITIES, LLC
CRD#: 146671 / SEC#: , 8-67837
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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