Charles B. Lowlicht
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 Bernard Lowlicht was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1969. Charles had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1, Series 000, Series 14, Series 27 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2013 - July 5, 2016
NATIONAL SECURITIES CORPORATION
February 22, 2010 - December 10, 2013
FURTHER LANE SECURITIES, L.P.
March 30, 2007 - February 12, 2010
WESTMINSTER FINANCIAL SECURITIES, INC.
July 21, 2003 - April 3, 2007
A. G. EDWARDS & SONS, INC.
May 3, 2001 - April 3, 2007
A. G. EDWARDS & SONS, INC.
September 16, 1999 - May 18, 2001
JANNEY MONTGOMERY SCOTT LLC
January 8, 1980 - October 12, 1999
THE DRATEL GROUP, INC.
August 1, 1979 - April 20, 1981
NORTHEAST SECURITIES CORP.
September 16, 1977 - September 6, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
January 21, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
June 13, 1969 - July 24, 1974
JSC 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
PC
Date: 6/15/1988
AMEX Put and Call ExamSeries 1
Date: 3/27/1962
Registered Representative ExaminationSeries 000
Date: 3/2/1962
General Securities Principal ExaminationSeries 12
Date: 5/24/1965
NYSE Branch Manager ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
