CA
Charles F. Anderson
INVESCO DISTRIBUTORS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 3067857
CA
Professional summary
Charles Francis Anderson, who also goes by Charles Anderson, Chuck Anderson, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Dallas, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Anderson | Chuck Anderson
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Francis Anderson's 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®
NoneExperience
Current
May 25, 2019 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 2300 N. Field St. Suite 1200, Dallas, TX 75201BD
CRD#: 7369
Dallas, TX
Past
December 3, 2012 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
October 17, 2011 - December 4, 2012
DISTRIBUTION SERVICES, LLC
BD
CRD#: 25938
PORTLAND, ME
Past
March 6, 2009 - January 4, 2010
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
ENGLEWOOD, CO
Past
March 6, 2009 - January 4, 2010
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
ENGLEWOOD, CO
Past
February 3, 1999 - July 16, 2008
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
July 29, 1998 - November 3, 1998
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Alabama(5/25/2019)
RR
Alaska(5/25/2019)
RR
Arizona(5/25/2019)
RR
Arkansas(5/25/2019)
RR
California(5/25/2019)
RR
Colorado(5/25/2019)
RR
Connecticut(5/25/2019)
RR
Delaware(5/25/2019)
RR
District of Columbia(5/25/2019)
RR
Georgia(5/25/2019)
RR
Hawaii(5/25/2019)
RR
Idaho(5/25/2019)
RR
Illinois(5/25/2019)
RR
Indiana(5/25/2019)
RR
Iowa(5/25/2019)
RR
Kansas(5/25/2019)
RR
Kentucky(5/25/2019)
RR
Louisiana(5/25/2019)
RR
Maine(5/25/2019)
RR
Maryland(5/25/2019)
RR
Massachusetts(5/25/2019)
RR
Michigan(5/25/2019)
RR
Minnesota(5/25/2019)
RR
Mississippi(5/25/2019)
RR
Missouri(5/25/2019)
RR
Montana(5/25/2019)
RR
Nebraska(5/25/2019)
RR
Nevada(5/25/2019)
RR
New Hampshire(5/25/2019)
RR
New Jersey(5/25/2019)
RR
New Mexico(5/25/2019)
RR
New York(5/25/2019)
RR
North Carolina(5/25/2019)
RR
North Dakota(5/25/2019)
RR
Ohio(5/25/2019)
RR
Oklahoma(5/25/2019)
RR
Oregon(5/25/2019)
RR
Pennsylvania(5/25/2019)
RR
Rhode Island(5/25/2019)
RR
South Carolina(5/25/2019)
RR
South Dakota(5/25/2019)
RR
Tennessee(5/25/2019)
RR
Texas(5/25/2019)
RR
Utah(5/25/2019)
RR
Vermont(5/25/2019)
RR
Virginia(5/25/2019)
RR
Washington(5/25/2019)
RR
West Virginia(5/25/2019)
RR
Wisconsin(5/25/2019)
RR
Wyoming(5/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369Dallas, TX 75201TRUST BUT VERIFY
Monitor Charles Anderson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
