Charles T. Maxwell
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 Thoburn Maxwell was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 3 firms and has passed the Series 63, Series 86, Series 87, 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
April 22, 2002 - January 3, 2013
WEEDEN & CO.L.P.
August 31, 2000 - January 3, 2013
WEEDEN & CO.L.P.
April 17, 1997 - April 1, 1998
LOEWENBAUM & COMPANY INCORPORATED
December 2, 1969 - March 28, 1997
DEUTSCHE BANK SECURITIES INC.
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: 5/19/1969
Registered Representative ExaminationSeries 40
Date: 11/24/1969
Registered Principal ExaminationCurrent Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
