Charles L. Davey
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 Lorne Davey, who also goes by Chuck Davey, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2010 - April 16, 2010
WORKMAN SECURITIES CORPORATION
July 28, 2008 - February 25, 2010
SII INVESTMENTS, INC.
October 31, 2005 - July 29, 2008
OSAIC SERVICES, INC.
March 4, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 25, 2004 - March 7, 2005
BANC ONE SECURITIES CORPORATION
December 5, 2003 - March 8, 2004
QUICK & REILLY, INC.
November 10, 1998 - December 2, 2003
SUNAMERICA SECURITIES, INC.
November 1, 1995 - October 30, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 15, 1993 - October 25, 1995
EURO-ATLANTIC SECURITIES INC.
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
Current Firm
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
