Charles C. Spangler
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 Claude Spangler, who also goes by Chet Spangler, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 9 firms and has passed the Series 63, 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 4, 1995 - December 31, 1997
CAPITAL SECURITIES OF AMERICA, INC.
June 25, 1991 - January 18, 1995
CLEARING SERVICES OF AMERICA, INC.
May 13, 1991 - November 17, 1995
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 15, 1989 - July 8, 1991
MAIN STREET MANAGEMENT COMPANY
January 9, 1985 - June 28, 1988
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 23, 1984 - February 27, 1989
LPL ENTERPRISE, LLC
March 6, 1981 - April 26, 1988
MONARCH SECURITIES, INC.
May 10, 1974 - October 16, 1974
BABBITT, MYERS & COMPANY, INC.
January 8, 1974 - July 16, 1980
HOME LIFE INSURANCE COMPANY
December 21, 1970 - December 3, 1973
METROPOLITAN LIFE INSURANCE COMPANY
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
Series 1
Date: 5/6/1974
Registered Representative ExaminationCurrent Firm
CAPITAL SECURITIES OF AMERICA, INC.
CRD#: 36405 / SEC#: , 8-47253
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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