Charles W. Andrews
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 Winston Andrews, who also goes by Charles Winston Andrews 3rd, Charles Winston Andrews Jr, Charles Winston Andrews, Chuck Andrews, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2021 - June 13, 2022
CRAFT CAPITAL MANAGEMENT LLC
November 23, 2016 - January 13, 2020
SPARTAN CAPITAL SECURITIES, LLC
June 10, 2013 - November 26, 2014
PHX FINANCIAL, INC.
September 12, 2012 - June 10, 2013
LEGEND SECURITIES, INC.
July 19, 2011 - December 31, 2011
NEWPORT COAST SECURITIES, INC.
January 22, 2008 - June 22, 2011
JOHN THOMAS FINANCIAL
February 13, 2004 - December 31, 2007
INVESTORS CAPITAL CORP.
April 4, 2003 - February 11, 2004
FIRST MONTAUK SECURITIES CORP.
September 23, 2002 - April 7, 2003
SOURCE CAPITAL GROUP, INC.
August 21, 2001 - November 4, 2002
LADENBURG CAPITAL MANAGEMENT INC.
March 22, 2000 - August 13, 2001
LADENBURG CAPITAL MANAGEMENT INC.
November 10, 1999 - April 18, 2000
D.L. CROMWELL INVESTMENTS, INC.
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
CRAFT CAPITAL MANAGEMENT LLC
CRD#: 171350 / SEC#: , 8-69455
Contact information
FINRA licenses (53 States and Territories)
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.
