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CC

Charles P. Celestin

Some features on this profile are disabled
CRD#: 4276880
CC

Professional summary

Charles Philippe Celestin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Charles had worked at 5 firms, which includes THE CONCORD EQUITY GROUP LLC, LH ROSS & COMPANY INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, FLORIDA DISCOUNT SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles P Celestin

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

April 16, 2003 - July 21, 2003

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

January 3, 2003 - March 31, 2003

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

December 13, 2002 - January 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PLANTATION, FL
Past

December 9, 2002 - January 8, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 9, 2002 - January 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 11, 2000 - October 1, 2002

FLORIDA DISCOUNT SECURITIES, INC.

BD
CRD#: 44859
BOCA RATON, FL

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
IAR
Series 66
Date: 12/9/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2001
General Securities Principal Examination

Current Firm

TC
THE CONCORD EQUITY GROUP, LLC
CONCORD EQUITY GROUP ADVISORS LLC | THE CONCORD EQUITY GROUP, LLC | THE CONCORD EQUITY GROUP | LAESSIG INVESTMENT COMPANY

CRD#: 14569 / SEC#: , 8-35226

BD
Terminated by SEC on 10/13/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 06/10/1975
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WASHINGTON ASSOCIATES 205 LLCPARENT COMPANY - BROKER-DEALER ONLY
DIOGUARDI, WILLIAM PAULCHAIRMAN1005567
MIN, SUNG SIKCFO/FINOP1025256

Disclosures

Regulatory Event5
Arbitration2
Bond1

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

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

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