Charles P. Hanlon
Professional summary
Charles Patrick Hanlon was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Charles had worked at 6 firms, which includes DELTA GLOBAL ADVISORS, BOLTON SECURITIES CORPORATION, BOLTON GLOBAL CAPITAL, A.G.P. / ALLIANCE GLOBAL PARTNERS, ROUND HILL SECURITIES INC., SUTRO & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2006 - December 31, 2009
DELTA GLOBAL ADVISORS
January 4, 2006 - November 14, 2006
BOLTON SECURITIES CORPORATION
January 21, 2005 - February 12, 2007
BOLTON GLOBAL CAPITAL
January 7, 2003 - January 20, 2005
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 21, 2000 - December 31, 2002
ROUND HILL SECURITIES, INC.
March 17, 1994 - July 27, 2000
SUTRO & CO. INCORPORATED
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 8
Date: 8/2/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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