Charles S. Costello
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 Spooner Costello Jr, who also goes by Charles S Costello Jr, Charles S Costello, Charles Spooner Costello, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 5, 2016 - January 23, 2017
FIRST COMMAND ADVISORY SERVICES
September 30, 2016 - January 23, 2017
FIRST COMMAND BROKERAGE SERVICES, INC.
February 18, 2014 - July 7, 2016
FORESTERS EQUITY SERVICES, INC.
February 3, 2014 - July 7, 2016
FORESTERS EQUITY SERVICES, INC.
April 1, 2010 - February 7, 2012
TOUCHSTONE ADVISORS INC
April 1, 2010 - February 7, 2012
TOUCHSTONE SECURITIES, INC.
May 3, 2002 - April 15, 2010
HORNOR, TOWNSEND & KENT, LLC
July 23, 2001 - May 8, 2002
NEXT FINANCIAL GROUP, INC.
May 17, 2001 - August 14, 2001
DORTCH SECURITIES & INVESTMENTS, INC.
January 1, 1998 - November 23, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 1, 1998 - November 23, 1999
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
