Charles L. Bender
Professional summary
Charles Lewis Bender III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Charles had worked at 8 firms, which includes FIDUCIARY WEALTH MANAGEMENT LLC, TRUIST ADVISORY SERVICES INC., TRUIST INVESTMENT SERVICES INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., FIDUCIARY FINANCIAL CONSULTANTS INC., A. G. EDWARDS & SONS INC., WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2018 - December 31, 2022
FIDUCIARY WEALTH MANAGEMENT LLC
August 24, 2016 - June 1, 2018
TRUIST ADVISORY SERVICES, INC.
September 22, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 19, 2014 - June 1, 2018
TRUIST INVESTMENT SERVICES, INC.
October 1, 2012 - October 9, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 9, 2014
J.P. MORGAN SECURITIES LLC
November 16, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 16, 2007 - October 27, 2011
FIDUCIARY FINANCIAL CONSULTANTS, INC.
September 20, 2005 - July 19, 2007
A. G. EDWARDS & SONS, INC.
September 9, 2005 - July 19, 2007
A. G. EDWARDS & SONS, INC.
December 13, 2002 - March 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 11, 2002 - March 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 14, 1997 - December 6, 2002
A. G. EDWARDS & SONS, INC.
October 9, 1997 - December 6, 2002
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDUCIARY WEALTH MANAGEMENT LLC
CRD#: 291757 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 5,500,000 |
Red Flags
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