Charles E. Stephens
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 Stephens 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 65, Series 63, SIE 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
January 11, 2016 - July 7, 2020
INVESTACORP ADVISORY SERVICES INC
January 14, 2015 - July 7, 2020
INVESTACORP, INC.
October 15, 2014 - December 31, 2014
KOVACK SECURITIES INC.
January 2, 2008 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
December 21, 2001 - December 31, 2007
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
Red Flags
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