Charles M. Crowell
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 Michael Crowell JR, who also goes by Chip M Crowell, Chip Michael Crowell Jr, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 2000. Charles had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2008 - April 10, 2008
WELLS FARGO INVESTMENTS, LLC
February 21, 2008 - April 10, 2008
WELLS FARGO INVESTMENTS, LLC
March 23, 2005 - February 28, 2006
SALOMON GREY FINANCIAL CORPORATION
March 7, 2005 - February 28, 2006
SALOMON GREY FINANCIAL CORPORATION
January 23, 2004 - April 1, 2005
STRATEGIC ADVISERS LLC
January 23, 2004 - April 1, 2005
FIDELITY BROKERAGE SERVICES LLC
January 15, 2003 - December 5, 2003
TD AMERITRADE CLEARING, INC.
August 13, 2002 - October 29, 2002
E*TRADE ADVISORY SERVICES, INC.
October 12, 2001 - October 29, 2002
E*TRADE SECURITIES LLC
September 29, 2000 - April 6, 2001
J.P. 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
Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
