Charles W. Wannen
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 Wannen III, who also goes by Bill U Wannen III, Chuck Wannen III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 10 firms and has passed the Series 63, Series 7 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
November 12, 2008 - January 2, 2009
AURA FINANCIAL SERVICES, INC.
May 15, 2007 - November 6, 2008
CLARK DODGE & CO., INC.
August 4, 2006 - May 21, 2007
WORLD EQUITY GROUP, INC.
October 4, 2005 - August 17, 2006
GREAT EASTERN SECURITIES, INC.
December 17, 2004 - August 2, 2005
ANDREW GARRETT INC.
February 25, 2004 - January 5, 2005
LH ROSS & COMPANY, INC.
August 19, 2002 - February 24, 2004
GUNNALLEN FINANCIAL, INC
May 9, 2001 - August 20, 2002
FIRST MONTAUK SECURITIES CORP.
June 30, 2000 - May 1, 2001
J.P. TURNER & COMPANY, L.L.C.
October 5, 1998 - August 2, 2000
CONTINENTAL BROKER-DEALER CORP.
June 10, 1998 - October 27, 1998
J.P. TURNER & COMPANY, L.L.C.
August 31, 1994 - June 22, 1998
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
AURA FINANCIAL SERVICES, INC.
CRD#: 42822 / SEC#: , 8-50020
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GAUTNEY, TIMOTHY MICHAEL | PRESIDENT | 2552149 |
| GAUTNEY, TIMOTHY MICHAEL | SECRETARY | 2552149 |
| COOPER, SHAUN MICHAEL | DIRECTOR OF OPERATIONS | 4254365 |
| COOPER, SHAUN MICHAEL | SROP | 4254365 |
| KING, LOYD GILFORD | TREASURER | 2892687 |
| WOODRUFF, JOHN WESLEY JR | CROP | 2625285 |
| WOODRUFF, JOHN WESLEY JR | CHIEF COMPLIANCE OFFICER | 2625285 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 5 |
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.
