Charles A. Marsh
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 Anthony Marsh, who also goes by Charles A Marsh, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2013 - January 22, 2018
ACADEMY SECURITIES, INC.
November 4, 1996 - October 28, 2013
FARRELL MARSH & CO.
January 11, 1993 - June 10, 1996
SEI INVESTMENTS DISTRIBUTION CO.
September 14, 1977 - April 16, 1992
SALOMON BROTHERS INC.
March 10, 1975 - June 30, 1977
BRIDGE TRADING COMPANY
May 15, 1969 - April 20, 1975
WHITE, WELD & CO. INCORPORATED
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
PC
Date: 11/15/1979
AMEX Put and Call ExamSeries 1
Date: 5/12/1969
Registered Representative ExaminationSeries 40
Date: 1/25/1973
Registered Principal ExaminationCurrent Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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