Charles E. Haverty
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 Edward Haverty, who also goes by Chuck Haverty, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 2 firms and has passed the Series 63, Series 5, Series 18, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 1969 - February 2, 1976
H.O. PEET & CO., INC.
May 20, 1969 - July 2, 2002
MORGAN STANLEY DW 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 18
Date: 1/26/1979
Securities Industry Rules and Regulations ExaminationSeries 000
Date: 5/20/1969
General Securities Principal ExaminationSeries 1
Date: 5/20/1969
Registered Representative ExaminationCurrent firm
No current employment
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.
