Charles Loughridge
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 Loughridge JR, who also goes by Chip Loughridge Jr, Chip Loughridge, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 8 firms and has passed the Series 63, Series 7TO, Series 72, Series 52TO, SIE, Series 5, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1995 - April 17, 2023
ZIONS DIRECT, INC.
December 19, 1992 - December 31, 1994
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 18, 1991 - April 6, 1992
COUGHLIN & COMPANY, INC.
September 4, 1990 - May 10, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 6, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
October 2, 1985 - May 11, 1989
BOETTCHER & COMPANY, INC.
August 11, 1982 - October 16, 1985
DAIN RAUSCHER INCORPORATED
February 13, 1981 - May 26, 1982
PIPER SANDLER & CO.
May 5, 1978 - February 15, 1981
DAIN RAUSCHER INCORPORATED
August 13, 1974 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 8/9/1974
Registered Representative ExaminationCurrent Firm
ZIONS DIRECT, INC.
CRD#: 17776 / SEC#: , 8-35721
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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