Charles W. Nezuh
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 Walter Nezuh, who also goes by Charles Thomas Nezuh, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1967. Charles had worked at 16 firms and has passed the Series 63, SIE, Series 1, Series 9, Series 10 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
June 5, 2015 - November 13, 2018
QUESTAR CAPITAL CORPORATION
September 3, 2010 - June 25, 2015
CAPITAL GUARDIAN, LLC
July 15, 2005 - September 7, 2010
MOORS & CABOT, INC.
December 5, 2003 - August 29, 2005
INTERNATIONAL ASSETS ADVISORY, LLC
March 29, 1999 - December 16, 2003
JANNEY MONTGOMERY SCOTT LLC
May 1, 1998 - March 10, 1999
WAMU INVESTMENTS, INC.
March 24, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 12, 1994 - January 27, 1997
LEGG MASON WOOD WALKER, INCORPORATED
November 18, 1991 - September 9, 1994
BARNETT INVESTMENTS, INC.
July 28, 1989 - October 16, 1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
May 15, 1987 - September 28, 1988
FIRST UNION BROKERAGE SERVICES, INC.
January 30, 1986 - July 29, 1986
A. G. EDWARDS & SONS, INC.
May 21, 1984 - June 4, 1985
MOSELEY SECURITIES CORPORATION
February 12, 1980 - May 24, 1984
MORGAN STANLEY DW INC.
May 23, 1975 - March 1, 1980
CARL P. SHERR & CO., LLC
March 7, 1967 - July 13, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 3/6/1967
Registered Representative ExaminationCurrent Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
