Charles A. Oestreicher
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 Andrew Oestreicher, who also goes by Charles Andrew Oestreicher, Drew Oestreicher Jr, Drew Oestreicher, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 3 firms and has passed the Series 65, Series 63 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
March 23, 2006 - November 19, 2013
PORTLAND GLOBAL ADVISORS LLC
November 12, 2002 - January 29, 2003
UBS FINANCIAL SERVICES INC.
August 24, 1998 - January 29, 2003
UBS FINANCIAL SERVICES INC.
December 7, 1994 - August 26, 1998
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
PORTLAND GLOBAL ADVISORS LLC
CRD#: 109127 / SEC#: 801-54256
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
PORTLAND GLOBAL ADVISORS LLC
CRD#: 109127 / SEC#: 801-54256
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 894 |
| AUM (Assets Under Management) | $ 1,006,240,328 |
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.
