Charles C. Sarris
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 Chris Sarris III, who also goes by Charles Chris Sarris, Chris Sarris, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1998. Charles had worked at 5 firms and has passed the Series 63 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
July 12, 2006 - September 26, 2006
401(K) INVESTMENT SERVICES, INC.
January 28, 2004 - November 5, 2004
QUEST CAPITAL STRATEGIES, INC.
September 17, 1999 - December 15, 2003
WADDELL & REED
August 1, 1999 - December 15, 2003
WADDELL & REED
October 20, 1998 - April 28, 1999
IDS LIFE INSURANCE COMPANY
October 20, 1998 - April 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
401(K) INVESTMENT SERVICES, INC.
CRD#: 31150 / SEC#: , 8-45388
Contact information
Documents
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.
