Charles T. Neale

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CRD#: 345432

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 Truscott Neale, who also goes by Charlie Neale, was a registered financial advisor .

Charles is a previously registered financial advisor and started their career in finance in 1962. Charles had worked at 13 firms and has passed the Series 63, Series 3, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Neale

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 19, 2007 - April 8, 2010

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

INDIAN WELLS, CA

Past

January 10, 2003 - July 17, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

PALM DESERT, CA

Past

January 7, 2003 - July 17, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

PALM DESERT, CA

Past

July 8, 1997 - December 31, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

PALM DESERT, CA

Past

October 6, 1993 - December 31, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 14, 1988 - October 6, 1993

LPL FINANCIAL LLC

CRD#: 6413

Past

September 6, 1985 - January 18, 1988

PENSIONS PLUS, INC.

CRD#: 15677

Past

March 28, 1983 - October 6, 1993

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 28, 1982 - March 10, 1983

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

October 14, 1981 - June 20, 1982

JEFFERIES LLC

CRD#: 2347

Past

December 12, 1980 - September 9, 1981

JEFFERIES EXECUTION SERVICES, INC.

CRD#: 867

Past

January 31, 1980 - December 26, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 29, 1979 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

January 4, 1977 - July 22, 1980

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

March 27, 1974 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

June 27, 1962 - April 15, 1974

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/20/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/18/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 10/16/1958

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1984

General Securities Principal Examination

Current Firm

J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: , 8-50156

Terminated by SEC on 04/04/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Georgia since 04/11/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BRAVES AQUISITION LLC	MEMBER
SHELSON, MARK PAUL	CORPORATE TREASURER	1819252
WOLL, EDWARD BARNETT	CHIEF COMPLIANCE OFFICER	1096606

Disclosures

Regulatory Event	30
Arbitration	12

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.

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Advisor Monitoring

Firm Stability Insights

Charles T. Neale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

PENSIONS PLUS, INC.

LPL FINANCIAL LLC

THOMSON MCKINNON SECURITIES INC.

JEFFERIES LLC

JEFFERIES EXECUTION SERVICES, INC.

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/1985

Series 3

Date: 8/18/1986

Series 1

Date: 10/16/1958

Series 24

Date: 7/31/1984

Current Firm

J.P. TURNER & COMPANY, L.L.C.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.P. TURNER & COMPANY, L.L.C.

TRUST BUT VERIFY

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