Charles D. Harkins

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CRD#: 2816849

Professional summary

Charles Donald Harkins was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles Donald Harkins, who also goes by Charlie Harkins, Chaz Harkins, Chuck Harkins, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 13 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

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Aliases

Charlie Harkins | Chaz Harkins | Chuck Harkins

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 25, 2008 - July 28, 2009

EKN FINANCIAL SERVICES INC.

CRD#: 113525

WOODBURY, NY

Past

September 19, 2007 - December 22, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

UNIONDALE, NY

Past

May 15, 2007 - September 20, 2007

CLARK DODGE & CO., INC.

CRD#: 23288

GARDEN CITY, NY

Past

November 16, 2006 - May 11, 2007

WORLD EQUITY GROUP, INC.

CRD#: 29087

GARDEN CITY, NY

Past

November 29, 2004 - November 21, 2006

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

May 3, 2004 - December 2, 2004

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 22, 2002 - April 28, 2004

HARRISON SECURITIES, INC.

CRD#: 14103

PORT WASHINGTON, NY

Past

April 2, 2001 - May 22, 2002

R.M. STARK & CO., INC.

CRD#: 7612

LAKE WORTH BEACH, FL

Past

September 24, 1999 - May 1, 2001

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Past

February 19, 1999 - October 19, 1999

TASIN & COMPANY, INC.

CRD#: 30709

HAUPPAUGE, NY

Past

September 3, 1997 - November 6, 1997

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Past

July 9, 1997 - September 17, 1997

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

December 3, 1996 - July 2, 1997

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/2/1996

General Securities Representative Examination

Current Firm

EKN FINANCIAL SERVICES INC.

EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: , 8-53346

Cancelled by SEC on 11/20/2013

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 01/16/2001

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MARGATE CAPITAL, INC	PARENT COMPANY
BORGNER, RICHARD REISS	CHIEF COMPLIANCE OFFICER	1104666
GIUGLIANO, THOMAS MICHAEL	DIRECTOR	2804591
OTTIMO, ANTHONY SR	CHAIRMAN & DIRECTOR	2974369

Disclosures

Regulatory Event	18
Arbitration	10
Judgment/Lien	1

Red Flags

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Firm Stability Insights

Charles D. Harkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPIRE FINANCIAL GROUP, INC.

CLARK DODGE & CO., INC.

WORLD EQUITY GROUP, INC.

WINDSOR STREET CAPITAL, LP

GUNNALLEN FINANCIAL, INC

HARRISON SECURITIES, INC.

R.M. STARK & CO., INC.

WEATHERLY SECURITIES CORPORATION

TASIN & COMPANY, INC.

MILLENNIUM SECURITIES CORP.

PACIFIC CORTEZ SECURITIES INCORPORATED

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/11/1996

Series 7

Date: 12/2/1996

Current Firm

EKN FINANCIAL SERVICES INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EKN FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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