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CP

Charles T. Pope

WEILD & CO.
New York, NY 10169
Some features on this profile are disabled
CRD#: 2357978
CP

Professional summary

Charles Thompson Pope, who also goes by Charles T Pope, Charley Pope, is a registered financial professional currently at WEILD & CO. located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 82TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles T Pope | Charley Pope

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Thompson Pope's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 9, 2022 - Present

WEILD & CO.

Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169
BD
CRD#: 132398
New York, NY
Past

April 24, 2020 - February 27, 2022

MID-MARKET SECURITIES, LLC

BD
CRD#: 126750
MOUNT KISCO, NY
Past

October 28, 2016 - July 5, 2019

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

November 9, 2005 - December 31, 2015

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
NEW YORK, NY
Past

November 15, 2002 - November 4, 2005

E1 ASSET MANAGEMENT, INC.

BD
CRD#: 46872
JERSEY CITY, NJ
Past

October 11, 2002 - October 29, 2002

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
NEW YORK, NY
Past

October 9, 2001 - October 29, 2002

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

January 2, 2000 - July 24, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 12, 1994 - April 20, 1999

CHARLES W. CAMMACK ASSOCIATES, INC.

BD
CRD#: 29208
NEW YORK, NY
Past

June 3, 1993 - April 29, 1994

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/9/2022)
RR
New York
(3/9/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/31/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/2/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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.

Company Information

WEILD & CO.

CRD#: 132398New York, NY 10169

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