Charles W. Lassen
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 William Lassen, who also goes by Chuck Lassen, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2004 - June 1, 2012
CPI CAPITAL
May 28, 2004 - June 1, 2012
CPI CAPITAL
August 25, 1998 - June 15, 2004
SII INVESTMENTS, INC.
November 11, 1996 - June 1, 1998
MML INVESTORS SERVICES, LLC
July 31, 1991 - July 17, 1996
WALNUT STREET SECURITIES, INC.
March 22, 1991 - July 26, 1991
G. R. PHELPS & CO., INC.
November 19, 1989 - August 26, 1998
OSAIC WEALTH, INC.
January 3, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 14, 1969 - January 21, 1989
G. R. PHELPS & CO., 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
Series 1
Date: 5/5/1969
Registered Representative ExaminationCurrent Firm
CPI CAPITAL
CRD#: 44575 / SEC#: 801-56355, 8-50786
Contact information
Disclosures
| Regulatory Event | 1 |
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.
