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CM

Charles K. Maretzky

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CRD#: 319715
CM

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 Kenneth Maretzky JR, who also goes by Chuck Maretzky, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 8 firms and has passed the Series 63, Series 55, Series 1, Series 4, F04 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck Maretzky

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 1, 2008 - November 18, 2008

SOUTHWEST TEXAS CAPITAL, L.L.C

BD
CRD#: 104200
PLANO, TX
Past

April 14, 2005 - June 17, 2008

BARRON MOORE, INC.

BD
CRD#: 123521
DALLAS, TX
Past

November 6, 1998 - April 12, 2005

RIVERSTONE WEALTH MANAGEMENT, INC.

BD
CRD#: 40418
AUSTIN, TX
Past

July 31, 1995 - October 8, 1998

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

October 17, 1991 - July 24, 1995

DALLAS RESEARCH & TRADING, INC.

BD
CRD#: 28806
DALLAS, TX
Past

March 1, 1974 - November 25, 1991

DALLAS SECURITIES INVESTMENT CORPORATION

BD
CRD#: 6647
Past

May 1, 1973 - July 17, 1974

AFFILIATED SECURITIES CORPORATION

BD
CRD#: 1000003
Past

August 5, 1970 - January 19, 1971

VP DISTRIBUTORS LLC

BD
CRD#: 3036

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/29/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 7/30/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/30/1979
Registered Options Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 1/22/1974
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 4/24/1973
General Securities Principal Examination

Current Firm

ST
SOUTHWEST TEXAS CAPITAL, L.L.C
BROKERDEALS.COM, L.L.C. | SWTCAPITAL, LLC | SW TEXAS CAPITAL, LLC | SOUTHWEST TEXAS CAPITAL, LLC | SOUTHWEST TEXAS CAPITAL, L.L.C | GALLAMORE AND LIGHTFOOT FINANCIAL | GALLAMORE & LIGHTFOOT FINANCIAL GROUP, LLC | GALLAMORE & LIGHTFOOT FINANCIAL GROUP | BROKERDEALS.COM,LLC DBA GALLAMORE AND LIGHTFOOT FINANCIAL GROUP

CRD#: 104200 / SEC#: , 8-52670

BD
Terminated by SEC on 10/06/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 05/18/2000
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST TEXAS CAPITAL, INC.OWNER
GALLAMORE, CHARLES LEEPRESIDENT & CEO + SEC. + CCO2443271
HILL, JERRY MOOREFIN OP3357
QUICK, DAVID JAMESMANAGING PARTNER- PRINCIPAL2236190
TSALIS, MARIA LEAPRINCIPAL-BRANCH MANAGER1946496

Disclosures

Regulatory Event2

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.

Company Information

SOUTHWEST TEXAS CAPITAL, L.L.C

CRD#: 104200

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