Charles Perna
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 Perna was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 12 firms and has passed the Series 63, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1987 - May 2, 1989
INVESTORS ADVANTAGE, INC.
July 1, 1986 - October 5, 1987
DOMESTIC ARBITRAGE GROUP, INC.
June 20, 1984 - June 3, 1986
NORTHFIELD INVESTMENTS INC.
May 27, 1982 - July 9, 1984
PHILIPS, APPEL & WALDEN, INC.
February 2, 1982 - July 7, 1982
EMPIRE NATIONAL SECURITIES, INCORPORATED
June 18, 1980 - October 7, 1983
FITTIN, CUNNINGHAM & LAUZON, INC.
January 18, 1978 - August 21, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
November 26, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
February 19, 1975 - January 8, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
September 24, 1974 - March 15, 1975
LOEB RHOADES & CO
May 16, 1974 - September 26, 1974
PHILIPS, APPEL & WALDEN, INC.
March 4, 1969 - September 5, 1975
PRESSMAN, FROHLICH & FROST, 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 000
Date: 3/3/1969
General Securities Principal ExaminationSeries 1
Date: 3/3/1969
Registered Representative ExaminationCurrent Firm
INVESTORS ADVANTAGE, INC.
CRD#: 17067 / SEC#: , 8-34992
Contact information
Documents
Red Flags
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