Charles R. Lindquist
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 Richard Lindquist was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1972. Charles had worked at 3 firms and has passed the Series 63, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 1976 - August 11, 1997
SECURITIES RESOLUTION CORPORATION
January 29, 1976 - November 30, 1979
MILLER & SCHROEDER SECURITIES, INC.
April 18, 1972 - February 28, 1976
AEI SECURITIES, 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: 4/6/1972
Registered Representative ExaminationCurrent Firm
SECURITIES RESOLUTION CORPORATION
CRD#: 7119 / SEC#: , 8-20118
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 4 |
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.
