Charles E. Daniel
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 Edward Daniel III, who also goes by Charles E Daniel III, Charles Edward Daniel, Charles Daniel, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 15 firms and has passed the Series 66, 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
February 13, 2014 - July 1, 2015
SPIRE WEALTH MANAGEMENT, LLC
February 13, 2014 - July 1, 2015
SPIRE SECURITIES, LLC
November 19, 2013 - February 14, 2014
VFINANCE INVESTMENTS, INC
February 19, 2013 - November 19, 2013
FURTHER LANE SECURITIES, L.P.
October 11, 2011 - January 29, 2013
ESPOSITO PARTNERS, LLC
October 11, 2011 - January 29, 2013
ESPOSITO SECURITIES, LLC
August 5, 2008 - July 22, 2011
TD AMERITRADE, INC.
July 29, 2008 - July 22, 2011
TD AMERITRADE, INC.
July 29, 2008 - July 22, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 12, 2008 - September 4, 2008
NORTHVIEW ASSET MANAGEMENT, LLC
February 11, 2008 - June 3, 2008
APS FINANCIAL CORPORATION
February 26, 2007 - February 12, 2008
ADVISORS ASSET MANAGEMENT, INC.
April 21, 2005 - February 12, 2008
ADVISORS ASSET MANAGEMENT, INC.
February 12, 2004 - April 20, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 8, 2001 - January 29, 2004
BANC OF AMERICA SECURITIES LLC
October 6, 2000 - January 22, 2001
MORGAN STANLEY DW INC.
February 24, 2000 - April 5, 2000
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
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
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,808 |
| AUM (Assets Under Management) | $ 4,617,171,037 |
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.
