Charles D. Landis
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 David Landis, who also goes by Charlie Landis, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 20 firms and has passed the Series 63, SIE, Series 1 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
October 6, 2017 - January 5, 2018
IAMS WEALTH MANAGEMENT, LLC
July 21, 2015 - August 18, 2016
FORESTERS EQUITY SERVICES, INC.
April 21, 2015 - June 18, 2015
INNOVATION PARTNERS LLC
April 2, 2015 - June 18, 2015
INNOVATION PARTNERS LLC
October 3, 2012 - October 15, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 2012 - October 15, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 2010 - October 2, 2012
SPC
May 10, 2010 - October 2, 2012
PARKLAND SECURITIES, LLC
January 5, 2009 - May 7, 2010
FORTUNE FINANCIAL SERVICES, INC.
April 27, 2007 - December 31, 2008
HARBOUR INVESTMENTS, INC.
December 1, 2006 - May 2, 2007
QUESTAR CAPITAL CORPORATION
July 21, 2004 - December 31, 2004
USALLIANZ SECURITIES, INC.
January 7, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 4, 2001 - January 9, 2004
MAIN STREET MANAGEMENT COMPANY
December 15, 2000 - June 5, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 18, 1990 - December 15, 2000
AMERICAN CAPITAL CORPORATION
March 19, 1986 - April 26, 1990
LANDIS INVESTMENT SERVICES, INC.
November 22, 1983 - April 23, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 13, 1979 - October 20, 1983
LINCOLN INVESTMENT
January 28, 1977 - December 8, 1979
LEGG MASON WARREN YORK, INC.
April 28, 1976 - February 3, 1977
GORDON H DICKINSON & CO., INC.
April 17, 1975 - May 22, 1976
WARREN W YORK & COMPANY
December 2, 1974 - March 31, 1975
GORDON H DICKINSON & CO., INC.
August 16, 1973 - January 14, 1975
PW SECURITIES, INC.
Primary Firm SEC Registration
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
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
Series 1
Date: 8/13/1973
Registered Representative ExaminationSeries 00
Date: 4/22/1974
General Securities Principal ExaminationCurrent Firm
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,104 |
| AUM (Assets Under Management) | $ 343,012,390 |
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.
