Charles E. Carlson
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 Carlson, who also goes by Chuck Carlson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1966. Charles had worked at 8 firms and has passed the Series 63, Series 1, F04 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
August 11, 1992 - March 20, 1993
PRINCETON AMERICAN EQUITIES CORPORATION
October 26, 1989 - April 3, 1990
NTB FINANCIAL CORPORATION
March 29, 1985 - December 14, 1988
NTB FINANCIAL CORPORATION
May 19, 1975 - February 6, 1985
C. E. CARLSON, INC.
March 29, 1974 - June 15, 1975
RAUSCHER PIERCE REFSNES, INC.
May 24, 1972 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 24, 1971 - June 26, 1972
DOMIK CORP.
February 8, 1971 - October 21, 1971
RAUSCHER PIERCE SECURITIES CORPORATION
June 20, 1966 - April 22, 1971
GOODBODY & 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: 7/8/1963
Registered Representative ExaminationF04
Date: 4/11/1975
Financial Principal ExaminationSeries 40
Date: 10/25/1972
Registered Principal ExaminationCurrent Firm
PRINCETON AMERICAN EQUITIES CORPORATION
CRD#: 14491 / SEC#: , 8-30752
Contact information
Documents
Red Flags
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