Charles K. Haggarty
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 Kirk Haggarty, who also goes by Kirk Haggarty, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 27 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
January 5, 2001 - March 23, 2009
DONNELLY PENMAN & PARTNERS
June 16, 1998 - September 29, 2000
RAYMOND JAMES & ASSOCIATES, INC.
May 15, 1998 - June 2, 1999
BANC ONE CAPITAL MARKETS, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
October 27, 1993 - May 11, 1998
RONEY & CO. L.L.C.
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 55
Date: 10/28/2003
Limited Representative-Equity Trader ExamCurrent Firm
DONNELLY PENMAN & PARTNERS
CRD#: 104448 / SEC#: , 8-52909
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHRISTIANS, ANDREW CHARLES | TREASURER | 5275038 |
| CUNNINGHAM, GREGORY H | SENIOR VICE PRESIDENT | 6009077 |
| LAMB, JEREMY LOUIS | SECRETARY | 4577771 |
| PENMAN, JAMES CARL | CEO | 2407009 |
| VORHEES, ROY WEBSTER IV | SENIOR VICE PRESIDENT | 4350755 |
| BERNARD, JOHN XAVIER | ASSOCIATE | 6828249 |
| MOLITOR, MICHAEL ARTHUR | ASSOCIATE | 7453889 |
| SADZEWICZ, GERY JOSEPH | CHIEF COMPLIANCE OFFICER | 1090963 |
| SHEA, THOMAS EDWARD | FINOP | 2299633 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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