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CP

Charles E. Petrie

COMPASS SECURITIES
Braintree, MA 02184-8734
Some features on this profile are disabled
CRD#: 2939525
CP

Professional summary

Charles Edward Petrie, who also goes by Charles Edward Petrie Jr, Charles Edward Petrie, Chuck Petrie, is a registered financial professional currently at COMPASS SECURITIES CORPORATION located in Braintree, Massachusetts.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 11 firms and has passed the Series 63, Series 65, Series 3, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Edward Petrie Jr | Charles Edward Petrie | Chuck Petrie

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.
1) T&O Peaked Holdings LLC -Position 100% owner - 5 to 10 hours per week non trading hours 2)Petrie Consulting: Non-Investment Related non-registered Co. -Position: 100% owner -Address: 4042 Lila Blue Lane Raleigh, NC -Duties: Assist clients with non-investment related sales coaching -Start Date: 09/2015 -Approx # hours/month work: varies -Approx # hours/work during trading hours: varies 3)Quantitive Research and Index -Position: 50% owner -Address: 4042 Lila Blue Lane Raleigh, NC -Duties: Quant research index replication -Start Date: 10/2021 -Approx # hours/month work: varies -Approx # hours/work during trading hours: varies 4) IGM Brokerage LLC Registered Representative Start Date 5/2022 Approx Hours- Varies 5) truEdge Asset Management Investment Advisor Representative Aprox Hours-varies

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Petrie's CRS (Customer Relationship Summary).
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

October 20, 2024 - Present

COMPASS SECURITIES CORPORATION

Office #1: 50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
BD
CRD#: 16168
Braintree, MA
Past

August 1, 2023 - November 5, 2024

TRUEDGE ASSET MANAGEMENT LLC

RIA
CRD#: 323442
Raleigh, NC
Past

April 26, 2022 - July 8, 2024

IGM BROKERAGE

BD
CRD#: 310654
RALEIGH, NC
Past

April 25, 2018 - July 28, 2023

WEALTHSHIELD LLC

RIA
CRD#: 288875
CARY, NC
Past

February 2, 2016 - June 17, 2021

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
BRAINTREE, MA
Past

January 12, 2016 - April 25, 2018

DOLAN CAPITAL GROUP, LLC

RIA
CRD#: 154524
Raaleigh, NC
Past

October 21, 2013 - December 14, 2015

MSC - BD, LLC

BD
CRD#: 142927
LAKE OSWEGO, OR
Past

August 9, 2013 - October 2, 2014

ZEGA FINANCIAL, LLC

RIA
CRD#: 156803
RALEIGH, NC
Past

November 29, 2012 - October 2, 2013

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
TRABUCO CANYON, CA
Past

July 6, 2011 - January 11, 2012

WINTHROP CAPITAL MANAGEMENT

RIA
CRD#: 145216
RALEIGH, NC
Past

November 14, 2005 - May 10, 2010

SENTINEL FINANCIAL SERVICES COMPANY

BD
CRD#: 31175
MONTPELIER, VT
Past

August 20, 1998 - April 27, 2005

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA

State Registrations and Notice Filings

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

RR
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

RR
North Carolina
(12/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/5/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/8/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMPASS SECURITIES CORPORATION
COMPASS SECURITIES CORPORATION

CRD#: 16168 / SEC#: , 8-33438

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Mailing Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Phone number
(781) 535-6083
Established
Massachusetts since 11/05/1984
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMPASS HOLDING GROUP INCSHAREHOLDER
CHAISSON, SCOTT STEPHENPRESIDENT/CEO2353375
SHANAHAN, TIMOTHY FRANCISDIRECTOR-CHIEF FINANCIAL OFFICER709231
WESCHLER, SUSAN MAUREENCHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER1796103

Disclosures

Regulatory Event1

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.

Company Information

COMPASS SECURITIES CORPORATION

CRD#: 16168Braintree, MA 02184-8734

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