Charles E. Combs

AGA SECURITIES

Bainbridge Island, WA

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CRD#: 2922449

Professional summary

Charles Elisha Combs, who also goes by Charles E Combs, Eli Combs, is a registered financial professional currently at AGA SECURITIES, LLC located in Bainbridge Island, Washington.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles E Combs | Eli Combs

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) - BD

Click below to view Charles Elisha Combs's CRS (Customer Relationship Summary).

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

Current

June 4, 2018 - Present

AGA SECURITIES, LLC

CRD#: 122781

Bainbridge Island, WA

Past

June 1, 2016 - June 29, 2018

BLUE SAND SECURITIES LLC

CRD#: 142976

KENSIGNTON, MD

Past

August 29, 2001 - August 23, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

August 10, 2000 - September 5, 2000

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 9, 1997 - June 15, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/4/2018)

New York
(6/4/2018)

Puerto Rico
(8/28/2018)

Washington
(5/4/2022)

Exams

State Security Law Exam

Series 63

Date: 7/25/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/16/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/20/2014

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 9/4/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AGA SECURITIES, LLC

AGA SECURITIES, LLC | G. SELECT SECURITIES, LLC

CRD#: 122781 / SEC#: , 8-65531

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

200 Winslow Way West Suite 380, Bainbridge Island, WA 98110

Mailing Address

200 Winslow Way West Suite 380, Bainbridge Island, WA 98110

Phone number

(203) 295-7413

Established

Colorado since 06/21/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AXIS GLOBAL ADVISORY, LLC	MEMBER
COMBS, CHARLES ELISHA	CHIEF COMPLIANCE OFFICER	2922449
SERRA, CARL ANTHONY III	FINOP	3179039

Red Flags

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Firm Stability Insights

Charles E. Combs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Elisha Combs's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUE SAND SECURITIES LLC

GOLDMAN SACHS & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2016

Series 66

Date: 9/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2016

Series 3

Date: 3/20/2014

Series 24

Date: 9/4/2018

FINRA

Current Firm

AGA SECURITIES, LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AGA SECURITIES, LLC

TRUST BUT VERIFY

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