Charlton C. Williams
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.
Charlton Christopher Williams, who also goes by Charles Williams, was a registered financial professional .
Charlton is a previously registered financial professional and started their career in finance in 1998. Charlton had worked at 7 firms and has passed the 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
February 1, 2002 - March 5, 2002
ITRADEDIRECT.COM CORP
November 6, 2001 - January 16, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
June 12, 2001 - December 10, 2001
EMERSON BENNETT & ASSOCIATES
April 11, 2001 - June 29, 2001
NEWBRIDGE SECURITIES CORPORATION
October 3, 2000 - April 27, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
March 5, 1999 - September 25, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
August 31, 1998 - January 5, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
February 25, 1998 - August 31, 1998
BILTMORE SECURITIES, INC.
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
ITRADEDIRECT.COM CORP
CRD#: 18281 / SEC#: , 8-36398
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 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.
