Charles W. Doller
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 William Doller III, who also goes by Bill Doller III, Charles William Doller, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 6 firms and has passed the Series 63, Series 62 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
May 15, 2012 - October 4, 2012
WESTOR CAPITAL GROUP, INC.
December 16, 2009 - November 8, 2012
HUDSON VALLEY CAPITAL MANAGEMENT
January 9, 2009 - December 31, 2009
LASALLE ST SECURITIES, L.L.C.
October 25, 2002 - December 31, 2008
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
January 5, 1994 - November 20, 2002
TRAUTMAN WASSERMAN & COMPANY, INC.
December 2, 1993 - December 13, 1993
AUGMENT 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
Series 62
Date: 11/12/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 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.
