Charles Carrillo
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 Carrillo was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 10 firms and has passed the SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2009 - December 31, 2017
K.C. WARD FINANCIAL
August 3, 1998 - February 9, 2009
MORGAN WILSHIRE SECURITIES, INC.
March 14, 1997 - August 5, 1998
WALSH MANNING SECURITIES, LLC
January 30, 1997 - February 10, 1997
INVESTORS ASSOCIATES, INC.
April 13, 1992 - November 22, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 5, 1985 - July 15, 1991
DAVID LERNER ASSOCIATES, INC.
September 26, 1978 - July 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
May 23, 1975 - February 25, 1978
SALOMON BROTHERS INC.
July 7, 1971 - July 7, 1975
SHIELDS & COMPANY 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
PC
Date: 11/6/1996
AMEX Put and Call ExamSeries 1
Date: 7/1/1971
Registered Representative ExaminationCurrent Firm
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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