Neville L. Charlton
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.
Neville Lee Charlton, who also goes by Neville L Charlton, was a registered financial professional .
Neville is a previously registered financial professional and started their career in finance in 2000. Neville had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2013 - December 21, 2015
TRUSTFIRST
April 21, 2010 - February 11, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
September 21, 2006 - July 17, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
August 7, 2003 - December 31, 2004
METROPOLITAN LIFE INSURANCE COMPANY
August 7, 2003 - December 31, 2004
MSI FINANCIAL SERVICES, INC.
April 24, 2002 - August 1, 2003
TRUSTFIRST
July 25, 2000 - December 11, 2001
MML INVESTORS SERVICES, LLC
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
TRUSTFIRST
CRD#: 39057 / SEC#: 801-64628, 8-48509
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAYLOR, DONALD OWEN | CHAIRMAN/CEO/CHIEF COMPLIANCE OFFICER | 725947 |
Regulatory assets under management
| Total Number of Accounts | 107 |
| AUM (Assets Under Management) | $ 75,760,700 |
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.
