Charles V. Betta
Professional summary
Charles Vincent Betta was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Charles had worked at 2 firms, which includes DUKE & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 1994 - November 4, 1996
DUKE & CO., INC.
March 28, 1994 - March 31, 1994
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
DUKE & CO., INC.
CRD#: 8035 / SEC#: , 8-24174
Contact information
Documents
Red Flags
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