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CT

Charles L. Taben

FRONTIER SECURITIES
Richmond, VA 23233
Some features on this profile are disabled
CRD#: 3015559
CT

Professional summary

Charles Lawrence Taben, who also goes by Charlie Lawrence Taben, is a registered financial professional currently at FRONTIER SECURITIES located in Richmond, Virginia.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 82TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Lawrence Taben

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 Lawrence Taben'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

February 1, 2025 - Present

FRONTIER SECURITIES

Office #1: 3307 Church Road, Suite 220, Richmond, VA 23233Office #2: 3307 Church Road Suite 220, Richmond, VA 23233
BD
CRD#: 136102
Richmond, VA
Past

September 23, 1998 - November 17, 2000

ABB STRUCTURED FINANCE (USA), INC.

BD
CRD#: 44757
STAMFORD, CT

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
Connecticut
(2/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/15/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/7/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/31/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82TO
Date: 12/17/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 5/11/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTIER SECURITIES
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

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

Main Address
3307 Church Road Suite 220, Richmond, VA 23233
Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233
Phone number
(804) 918-2368
Established
Georgia since 05/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 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#
ASPEN PARTNERS, LTDMANAGING MEMBER
TERRY, DEBORAH HOLLANDFINOP/CFO5680197
VICK, GEORGE DAVIS IVCHIEF COMPLIANCE OFFICER3006623

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

FRONTIER SECURITIES

CRD#: 136102Richmond, VA 23233

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