Charles G. Gustin
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 Gerald Gustin, who also goes by Chuck Gustin, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1967. Charles had worked at 13 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - September 4, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 4, 2010 - September 4, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 1, 1998 - December 31, 2009
CETERA WEALTH SERVICES, LLC
June 25, 1992 - December 31, 2009
CETERA WEALTH SERVICES, LLC
March 20, 1992 - July 10, 1992
SENTRA SECURITIES CORPORATION
March 6, 1990 - February 28, 1992
TOWER SQUARE SECURITIES, INC.
April 21, 1988 - February 28, 1990
SENTRA SECURITIES CORPORATION
November 19, 1986 - April 14, 1988
KORN, WOMACK, STERN AND ASSOCIATES, INC.
March 11, 1986 - November 24, 1986
PROFESSIONAL REAL ESTATE SECURITIES COMPANY, INC.
March 7, 1986 - September 17, 1986
KINGSBURY CAPITAL, INC.
June 21, 1985 - March 6, 1986
VALUE EQUITIES CORPORATION
July 9, 1984 - May 13, 1986
VOYA FINANCIAL ADVISORS, INC.
January 10, 1983 - June 29, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
May 8, 1978 - December 28, 1982
PW SECURITIES, INC.
July 6, 1967 - May 1, 1978
SECURITIES MANAGEMENT & RESEARCH, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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: 7/3/1967
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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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