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CE

Charles B. Edwards

Some features on this profile are disabled
CRD#: 2407339
CE

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 Blount Edwards, who also goes by Blount Edwards, C. Blount Edwards, Charles B. Edwards, Charles Edwards, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Blount Edwards | C. Blount Edwards | Charles B. Edwards | Charles Edwards

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 26, 2015 - October 31, 2016

LEAGUE CAPITAL MARKETS

BD
CRD#: 170803
NEW YORK, NY
Past

February 11, 2015 - July 20, 2015

THOMPSON DAVIS & CO., INC.

BD
CRD#: 41353
RICHMOND, VA
Past

April 18, 2013 - October 22, 2013

CROSS POINT CAPITAL LLC

BD
CRD#: 136223
NEW YORK, NY
Past

November 5, 2012 - January 24, 2013

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

March 27, 2012 - October 25, 2012

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

October 27, 2010 - March 9, 2012

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
NEW YORK, NY
Past

January 26, 2010 - August 19, 2010

ROCKFLEET FINANCIAL SERVICES, INC

BD
CRD#: 149325
SARASOTA, FL
Past

January 16, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
VERO BEACH, FL
Past

January 2, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
VERO BEACH, FL
Past

February 5, 1999 - June 21, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

November 3, 1997 - March 27, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 14, 1996 - November 3, 1997

CIBC WOOD GUNDY SECURITIES CORP.

BD
CRD#: 3801
NEW YORK, NY
Past

June 21, 1995 - January 23, 1996

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

August 24, 1994 - July 19, 1995

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/12/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/29/2006
General Securities Representative Examination

Current Firm

LC
LEAGUE CAPITAL MARKETS
FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS

CRD#: 170803 / SEC#: , 8-69432

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Phone number
(212) 588-0580
Established
New York since 11/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEAGUEMED ENTERPRISES, LLCOWNER
DAUSEND, DOROTHY THERESASUPERVISORY PRINCIPAL1326747
GALLAGHER, JOHN JOSEPH JRCEO3128509
MACK, ALEXANDER HERBERTFINOP4805607
MACK, DAVIDPRESIDENT2164969
URQUIOLA, JEAN CAROLCCO, VICE PRESIDENT1806619

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.

Company Information

LEAGUE CAPITAL MARKETS

CRD#: 170803

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