Charles E. Davis
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 Edmond Davis IV, who also goes by Ted Davis IV, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 17 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - April 25, 2024
TOURMALINE PARTNERS, LLC
April 23, 2012 - April 26, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
June 20, 2007 - March 22, 2012
SANFORD C. BERNSTEIN & CO., LLC
October 11, 1994 - May 11, 1998
NATWEST SECURITIES CORPORATION
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 17
Date: 6/19/2007
Limited Registered Representative ExaminationCurrent Firm
TOURMALINE PARTNERS, LLC
CRD#: 154492 / SEC#: , 8-68644
Contact information
FINRA licenses (33 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
