Charles P. Ripley
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 Peyton Ripley was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 6 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, PC, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2022 - January 7, 2026
HERNDON PLANT OAKLEY, LTD.
July 7, 2010 - October 12, 2021
BOK FINANCIAL SECURITIES, INC.
October 4, 1993 - April 1, 2010
FIRST SOUTHWEST COMPANY, LLC
June 24, 1986 - October 15, 1993
RAUSCHER PIERCE REFSNES, INC.
June 6, 1984 - July 3, 1986
UNDERWOOD, NEUHAUS & CO., INCORPORATED
September 24, 1981 - June 29, 1984
E. F. HUTTON & COMPANY INC
February 18, 1969 - October 1, 1981
UNDERWOOD, NEUHAUS & 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 1/1/1978
AMEX Put and Call ExamSeries 000
Date: 5/22/1969
General Securities Principal ExaminationSeries 1
Date: 10/2/1968
Registered Representative ExaminationSeries 00
Date: 3/21/1972
General Securities Principal ExaminationCurrent Firm
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971 / SEC#: 801-55675, 8-50912
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 278 |
| AUM (Assets Under Management) | $ 110,586,400 |
Red Flags
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