Charles J. Wittmann
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 Joseph Wittmann III, who also goes by Charles Joseph Wittmann, Chip Wittmann III, Chip Wittmann, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2005 - July 11, 2014
THOMPSON SIEGEL & WALMSLEY LLC
October 1, 1999 - July 31, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 4, 1995 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
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
THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,775 |
| AUM (Assets Under Management) | $ 20,812,400,000 |
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.
