Charles Alba
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 Alba, who also goes by Chuck Alba, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2007 - July 17, 2020
SPIRE SECURITIES, LLC
February 15, 2007 - July 17, 2020
SPIRE WEALTH MANAGEMENT, LLC
February 2, 2007 - November 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 4, 2004 - February 1, 2007
CUSO FINANCIAL SERVICES, L.P.
March 3, 2004 - February 1, 2007
CUSO FINANCIAL SERVICES, L.P.
January 1, 2002 - February 26, 2004
SPIRE WEALTH MANAGEMENT, LLC
November 27, 2001 - March 9, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 30, 2001 - November 23, 2001
LOCKWOOD FINANCIAL SERVICES, 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
Current Firm
SPIRE SECURITIES, LLC
CRD#: 144131 / SEC#: , 8-67635
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| 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.
