Charles A. Hanan
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 Addison Hanan was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 5, Series 1, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2015 - June 14, 2016
ADVISORS ASSET MANAGEMENT, INC.
November 25, 2002 - April 1, 2013
FHN FINANCIAL SECURITIES CORP.
September 2, 1999 - November 13, 2002
COUNTRYWIDE SECURITIES CORPORATION
June 7, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
November 7, 1997 - June 7, 1999
DB ALEX. BROWN LLC
October 13, 1993 - November 13, 1997
LASALLE FINANCIAL SERVICES, INC.
April 3, 1993 - July 23, 1993
TUCKER ANTHONY INCORPORATED
July 13, 1992 - March 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 27, 1985 - November 30, 1989
SALOMON BROTHERS INC.
May 19, 1978 - August 3, 1978
KIDDER, PEABODY & CO. INCORPORATED
May 11, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
June 14, 1974 - June 10, 1976
DEAN WITTER & CO. INCORPORATED
November 13, 1973 - June 6, 1974
STONE & WEBSTER SECURITIES CORPORATION
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 11/8/1973
Registered Representative ExaminationSeries 8
Date: 3/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
