Charles E. Wakim
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 Emin Wakim, who also goes by Charlie Emin Wakim, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 9 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
August 26, 2013 - February 12, 2014
CHURCHILL CAPITAL USA, INC.
July 13, 2010 - August 16, 2013
MARV CAPITAL INC.
April 7, 2009 - July 2, 2010
SOUTHRIDGE INVESTMENT GROUP LLC
January 29, 2007 - February 26, 2009
LEDGEMONT CAPITAL MARKETS LLC
November 10, 2003 - February 4, 2004
LEDGEMONT CAPITAL MARKETS LLC
March 18, 2003 - May 12, 2003
RODMAN & RENSHAW, LLC
April 16, 2002 - October 25, 2002
RYAN BECK & CO.
October 26, 2001 - December 17, 2001
ECAPNETWORK SECURITIES, INC.
April 10, 2000 - March 6, 2001
ABN AMRO SECURITIES LLC
December 1, 1998 - May 24, 1999
MORGAN STANLEY DW 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
Current Firm
CHURCHILL CAPITAL USA, INC.
CRD#: 143278 / SEC#: , 8-67547
Contact information
FINRA licenses (7 States and Territories)
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.
