Charles W. Bray
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 William Bray, who also goes by Bill Bray, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 9 firms and has passed the Series 63, Series 5, PC, Series 1, Series 000, Series 12, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 1998 - June 14, 2012
ALTON CAPITAL MANAGEMENT, INC.
June 6, 1996 - October 14, 2011
ALTON SECURITIES GROUP INC.
April 13, 1992 - October 25, 1996
MOSES.COM SECURITIES, INC.
September 30, 1989 - April 13, 1992
ADVEST, INC.
November 25, 1988 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
February 1, 1988 - November 12, 1988
ROWLAND, SIMON & CO.
December 22, 1981 - February 1, 1988
I.M. SIMON & CO., INC.
August 22, 1972 - November 9, 1981
STIX & CO., INC.
June 19, 1970 - September 24, 1972
R. ROWLAND & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 5/14/1982
Interest Rate Options ExaminationPC
Date: 10/1/1977
AMEX Put and Call ExamSeries 1
Date: 9/29/1967
Registered Representative ExaminationSeries 000
Date: 2/9/1967
General Securities Principal ExaminationSeries 12
Date: 1/16/1982
NYSE Branch Manager ExaminationSeries 00
Date: 10/9/1971
General Securities Principal ExaminationCurrent Firm
ALTON CAPITAL MANAGEMENT, INC.
CRD#: 123674 / SEC#: 801-64131
Contact information
Red Flags
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