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CS

Charles C. Slowey

Some features on this profile are disabled
CRD#: 426562
CS

Professional summary

Charles Christopher Slowey JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Charles had worked at 10 firms, which includes ADVANCED PLANNING SECURITIES INC., EQUITY SERVICES INC., CADARET GRANT & CO. INC., MONARCH SECURITIES INC., MBA EQUITY INVESTMENT CORPORATION, OSAIC FS INC., SLOWEY KAY INCORPORATED, FINANCIAL CONSULTANTS INC., MHA FINANCIAL CORP, LINCOLN FINANCIAL DISTRIBUTORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Christophe Slowey Jr | Chuck Slowey | Jr Charles Christopher Slowey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 23, 2003 - February 4, 2006

ADVANCED PLANNING SECURITIES, INC.

BD
CRD#: 14382
SMITHTOWN, NY
Past

October 25, 1993 - November 21, 1995

ADVANCED PLANNING SECURITIES, INC.

BD
CRD#: 14382
SMITHTOWN, NY
Past

February 4, 1991 - December 31, 1991

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

August 8, 1990 - January 16, 1991

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

June 9, 1987 - April 10, 1989

MONARCH SECURITIES, INC.

BD
CRD#: 2809
Past

October 22, 1986 - January 2, 1987

MBA EQUITY INVESTMENT CORPORATION

BD
CRD#: 7911
Past

October 3, 1985 - October 28, 1986

OSAIC FS, INC.

BD
CRD#: 3870
Past

March 29, 1982 - March 5, 1986

SLOWEY, KAY INCORPORATED

BD
CRD#: 10404
Past

April 23, 1981 - June 2, 1982

FINANCIAL CONSULTANTS, INC.

BD
CRD#: 1819
Past

November 17, 1980 - February 21, 1981

MHA FINANCIAL CORP

BD
CRD#: 7462
Past

December 28, 1970 - December 25, 1980

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/10/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/3/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/1982
General Securities Principal Examination

Current Firm

AP
ADVANCED PLANNING SECURITIES, INC.
ADVANCED PLANNING SECURITIES, INC. | PICO ALEXANDER CAPITAL CORPORATION

CRD#: 14382 / SEC#: , 8-17981

BD
Terminated by SEC on 02/24/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/01/1974
Firm type
Corporation
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVANCED PLANNING HOLDING CORPSHAREHOLDER
CARDELLO, MICHAEL SAMFINANCIAL PRINCIPAL718970
POLLINA, CHRISTOPHER CHARLESPRESIDENT CCO2552092

Disclosures

Regulatory Event4
Civil Event1
Arbitration2

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.

Company Information

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

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