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CA

Charles Achoa

Some features on this profile are disabled
CRD#: 2450021
CA

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 Achoa, who also goes by Charles Achoa Jr, Charles Achoa, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Achoa Jr | Charles Achoa

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

January 10, 2019 - July 22, 2019

CIM SECURITIES, LLC

BD
CRD#: 120852
PALMER, AK
Past

December 10, 2014 - July 28, 2016

BCP SECURITIES, INC.

BD
CRD#: 27063
GREENWICH, CT
Past

August 19, 2010 - October 9, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

January 17, 2003 - August 31, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 25, 1997 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 1, 1996 - May 5, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

April 25, 1996 - October 21, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 26, 1996 - April 1, 1996

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

March 26, 1996 - October 21, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
Past

February 16, 1994 - March 22, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
Series 63
Date: 2/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/28/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/2012
General Securities Principal Examination

Current Firm

CS
CIM SECURITIES, LLC
CIM SECURITIES, LLC

CRD#: 120852 / SEC#: , 8-65351

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

Main Address
Tract B; Asls 77-149, Plat 79-3, Palmer, AK 99645
Mailing Address
Po Box 810, Willow, AK 99688
Phone number
(732) 966-9244
Established
Colorado since 03/21/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 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#
CHOICE INVESTMENT MANAGEMENT LLCSHAREHOLDER
EMERSON, BRYAN TILLERCEO, CCO, FINOP4155238

Disclosures

Regulatory Event4

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

CIM SECURITIES, LLC

CRD#: 120852

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