Charles A. Olmstead
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 Alexander Olmstead, who also goes by Alex Olmstead, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 6 firms and has passed the Series 63, SIE 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
July 17, 2009 - March 23, 2015
NATIONAL SECURITIES CORPORATION
January 23, 2009 - July 24, 2009
BISHOP, ROSEN & CO., INC.
September 16, 2008 - January 23, 2009
GILFORD SECURITIES INCORPORATED
May 30, 2008 - October 10, 2008
CHICAGO INVESTMENT GROUP, LLC
May 28, 2003 - June 19, 2008
GILFORD SECURITIES INCORPORATED
November 25, 2002 - June 4, 2003
WESTROCK ADVISORS, INC.
February 12, 2002 - November 18, 2002
CONTINENTAL BROKER-DEALER CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
