Charles D. Mccall
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 Daniel Mccall was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1965. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 3, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
October 1, 1999 - September 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - September 5, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 28, 1982 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 31, 1978 - July 8, 1982
ALEX. BROWN & SONS INCORPORATED
December 23, 1965 - April 3, 1978
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/25/1977
AMEX Put and Call ExamSeries 1
Date: 12/22/1965
Registered Representative ExaminationSeries 40
Date: 3/4/1975
Registered Principal ExaminationSeries 12
Date: 7/24/1973
NYSE Branch Manager ExaminationCurrent Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
Red Flags
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