Charles M. Simpson
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 Morgan Simpson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 4 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
May 19, 2022 - August 9, 2023
VCEXPRESS FINANCIAL LTD
February 22, 2019 - July 7, 2020
AX TRADING, LLC
October 26, 2007 - March 27, 2017
GLOBAL EMERGING CAPITAL GROUP, LLC
June 30, 2004 - March 27, 2017
GLOBAL EMERGING CAPITAL GROUP, LLC
February 19, 2002 - June 30, 2004
BOENNING & SCATTERGOOD, INC.
March 19, 1999 - March 14, 2002
QUAKER 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
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationSeries 57TO
Date: 3/13/2022
Securities Trader ExamSeries 55
Date: 3/17/2000
Limited Representative-Equity Trader ExamSeries 12
Date: 7/6/2006
NYSE Branch Manager ExaminationCurrent Firm
VCEXPRESS FINANCIAL LTD
CRD#: 314544 / SEC#: , 8-70743
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
