Charles F. Lowrey
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 Frederick Lowrey was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1989 - July 28, 2016
PORTSMOUTH FINANCIAL SERVICES
June 1, 1987 - October 25, 1989
HUTCHINSON SECURITIES
May 29, 1984 - April 27, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 13, 1983 - May 4, 1984
SUTRO & CO. INCORPORATED
October 10, 1983 - March 29, 1984
LEHMAN BROTHERS INC.
March 10, 1971 - October 10, 1983
DAVIS, SKAGGS & CO., 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 000
Date: 8/2/1962
General Securities Principal ExaminationSeries 1
Date: 12/14/1961
Registered Representative ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 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.
