Charles R. Crutchfield
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 Redford Crutchfield, who also goes by Charles Crutchfield, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2009 - November 5, 2014
MADISON AVENUE SECURITIES, LLC
April 28, 2009 - November 5, 2014
MADISON AVENUE SECURITIES, LLC
July 20, 2007 - May 4, 2009
QA3 FINANCIAL LLC
July 20, 2007 - May 4, 2009
QA3 FINANCIAL CORP.
December 20, 2006 - June 19, 2007
NATIONAL PLANNING CORPORATION
December 18, 2006 - June 19, 2007
NATIONAL PLANNING CORPORATION
September 17, 2004 - November 22, 2006
ONEAMERICA SECURITIES, INC.
August 30, 2004 - November 22, 2006
ONEAMERICA SECURITIES, INC.
August 13, 2001 - August 2, 2004
CARILLON INVESTMENTS, INC.
July 10, 2001 - August 2, 2004
CARILLON INVESTMENTS, INC.
March 30, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 30, 1999 - July 27, 2001
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
