Charles M. Carty
Professional summary
Charles Melvin Carty, who also goes by Chuck Carty, is a registered financial advisor currently at CARTY FINANCIAL, INC. located in Goleta, California.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Melvin Carty's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2007 - Present
CARTY FINANCIAL, INC.
June 18, 2004 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
June 16, 2004 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
November 26, 2002 - June 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 26, 2002 - June 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1998 - December 17, 2002
UBS FINANCIAL SERVICES INC.
November 6, 1998 - December 17, 2002
UBS FINANCIAL SERVICES INC.
August 4, 1993 - November 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/26/2007)
Exams
Current Firm
CARTY FINANCIAL, INC.
CRD#: 144564 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 114 |
| AUM (Assets Under Management) | $ 33,210,000 |
Red Flags
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