Charles E. Purdy
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 Edward Purdy III, who also goes by Charles Edward Purdy, Chuck Purdy, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 5 firms and has passed the Series 63, Series 1 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
November 14, 1985 - February 12, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
December 14, 1981 - September 6, 1985
PAGEL INC.
September 22, 1978 - June 17, 1981
LEHMAN BROTHERS INC.
July 8, 1974 - October 18, 1978
E. F. HUTTON & COMPANY INC
February 10, 1969 - August 1, 1974
BLYTH EASTMAN DILLON & CO. 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: 4/6/1964
Registered Representative ExaminationSeries 40
Date: 6/27/1972
Registered Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
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.
