Charles M. Whiteman
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 M Whiteman was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 82, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2019 - January 22, 2024
SAN BLAS SECURITIES LLC
September 19, 2014 - October 18, 2019
IFS SECURITIES
May 2, 2012 - October 10, 2013
ROSWELL CAPITAL SECURITIES, LLC
February 6, 2012 - May 10, 2012
MOODY CAPITAL SOLUTIONS, INC
April 24, 2002 - June 2, 2004
EQUIPLACE SECURITIES LLC
December 24, 1996 - April 17, 2002
DUNWOODY BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SAN BLAS SECURITIES LLC
CRD#: 290605 / SEC#: , 8-70036
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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