Charles Stevens
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 Stevens was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 7 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2021 - December 31, 2025
OAKGROVE WEALTH MANAGEMENT
March 2, 2007 - April 7, 2009
BROKERSXPRESS LLC
August 11, 2006 - March 14, 2007
UBS FINANCIAL SERVICES INC.
March 25, 2004 - June 5, 2006
COMMONWEALTH FINANCIAL NETWORK
February 13, 2004 - April 6, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 27, 2003 - April 6, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 1, 2002 - December 18, 2002
BANC ONE SECURITIES CORPORATION
June 17, 2002 - December 18, 2002
BANC ONE SECURITIES CORPORATION
April 7, 2000 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
OAKGROVE WEALTH MANAGEMENT
CRD#: 308088 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 2,322,067 |
Red Flags
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