Charles F. Marshall
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 Frederick Marshall, who also goes by Fred Marshall, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1966. Charles had worked at 11 firms and has passed the Series 63, Series 3, Series 1, Series 24, Series 8 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
January 22, 1992 - August 23, 2011
VINING-SPARKS IBG, LLC
May 5, 1989 - March 6, 1991
LLAMA COMPANY
May 6, 1988 - April 4, 1989
FIRSTMONEY SECURITIES CORPORATION
March 26, 1986 - May 20, 1988
CAPITOL SECURITIES GROUP, INC.
September 23, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
September 17, 1982 - September 19, 1983
ARKOMA MANAGEMENT CO.
February 25, 1980 - September 29, 1980
HAAS SECURITIES CORPORATION
February 1, 1979 - December 15, 1979
ROTAN MOSLE INC.
January 13, 1976 - February 11, 1979
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 29, 1974 - November 6, 1975
RAUSCHER PIERCE REFSNES, INC.
February 17, 1972 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
July 28, 1966 - March 7, 1972
STEPHENS
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 1
Date: 7/25/1966
Registered Representative ExaminationSeries 8
Date: 3/28/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/14/1972
Registered Principal ExaminationCurrent Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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