Charles B. Milligan
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 Bernard Milligan JR, who also goes by Charles Bernard Milligan, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1972. Charles had worked at 14 firms and has passed the Series 66, Series 55, Series 000, Series 1, Series 10, Series 9, Series 4 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
June 29, 2009 - November 21, 2011
SIGNATOR INVESTORS, INC.
June 23, 2009 - November 21, 2011
SIGNATOR INVESTORS, INC.
November 19, 2004 - January 26, 2009
UBS FINANCIAL SERVICES INC.
September 13, 2004 - January 26, 2009
UBS FINANCIAL SERVICES INC.
November 3, 2003 - April 29, 2004
BLAYLOCK & COMPANY, INC.
September 1, 2000 - July 10, 2002
UBS CAPITAL MARKETS L.P.
July 28, 1998 - June 28, 2002
CHARLES SCHWAB & CO., INC.
July 12, 1996 - August 1, 1997
FIDELITY BROKERAGE SERVICES LLC
September 27, 1995 - July 1, 1996
NATIONAL FINANCIAL SERVICES LLC
December 15, 1994 - August 31, 1995
GREENWICH GLOBAL, LLC
July 24, 1980 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
February 26, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 26, 1979 - February 11, 1993
UBS FINANCIAL SERVICES INC.
June 16, 1976 - November 21, 1977
DRYSDALE SECURITIES CORPORATION
December 4, 1975 - July 10, 1976
BAKER, WEEKS & CO., INC.
August 21, 1973 - December 28, 1975
J.P. MORGAN SECURITIES LLC
April 5, 1972 - September 8, 1973
REYNOLDS 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 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamSeries 000
Date: 3/29/1972
General Securities Principal ExaminationSeries 1
Date: 3/29/1972
Registered Representative ExaminationSeries 40
Date: 3/17/1977
Registered Principal ExaminationCurrent Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
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.
