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CB

Charles A. Brown

Some features on this profile are disabled
CRD#: 32056
CB

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 Augustus Brown was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 10 firms and has passed the Series 1 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 5, 1993 - February 27, 2014

RH INVESTMENT CORPORATION

BD
CRD#: 13457
ENCINO, CA
Past

January 22, 1992 - January 28, 1993

O'CONNOR SECURITIES

BD
CRD#: 17634
NEWPORT BEACH, CA
Past

May 16, 1990 - December 18, 1991

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

January 13, 1989 - April 27, 1989

PROFILE INVESTMENTS CORPORATION

BD
CRD#: 16478
Past

November 20, 1987 - January 3, 1989

RH INVESTMENT CORPORATION

BD
CRD#: 13457
GLENDALE, CA
Past

April 19, 1985 - July 18, 1987

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

March 23, 1976 - April 19, 1985

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

May 16, 1973 - October 22, 1975

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

April 24, 1973 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209
Past

March 15, 1972 - April 19, 1973

W. E. HUTTON & CO.

BD
CRD#: 861
Past

February 8, 1971 - April 22, 1972

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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

General Industry/Product Exam
RR
Series 1
Date: 2/4/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/11/1980
Municipal Securities Principal Examination

Current Firm

RI
RH INVESTMENT CORPORATION
R H INVESTMENT CORPORATION, INC. | RH INVESTMENT CORPORATION | R.H. MUNICIPALS BONDS INC.

CRD#: 13457 / SEC#: , 8-29222

BD
Terminated by SEC on 03/24/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 03/08/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BYRNES, ANDREW LOUIS IIICHIEF EXECUTIVE OFFICER & SHAREHOLDER864956
BUCKTON, RICHARD JAMESHEAD OF TRADING2085032
BYRNES, SANDRA SUSAN MS.SECRETARY/TREASURER
PORTILLO, JOSE ROMEOCCO & FINANCIAL AND OPERATIONS PRINCIPAL2248799

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

RH INVESTMENT CORPORATION

CRD#: 13457

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