Charles C. Thomas
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 Carroll Thomas III, who also goes by Charles C (iii) Thomas, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 4 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2011 - May 16, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
March 3, 2011 - May 16, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
September 26, 2006 - March 3, 2011
BOLTON SECURITIES CORPORATION
September 25, 2006 - March 3, 2011
BOLTON GLOBAL CAPITAL
July 22, 2002 - September 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1999 - September 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
