Charles F. Sullivan
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 Franklin Sullivan was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 7 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 1992 - November 21, 2005
HEIDTKE & COMPANY, INC.
January 11, 1989 - August 14, 1992
&PARTNERS
July 8, 1985 - January 26, 1989
W. N. ESTES & COMPANY, INC.
July 27, 1976 - August 12, 1985
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
October 4, 1973 - August 12, 1976
F. D. BENTON & ASSOCIATES, INC.
May 12, 1971 - October 10, 1973
M. A. SAUNDERS & COMPANY, INC.
January 8, 1970 - May 30, 1971
BULLINGTON-SCHAS & CO., INC.
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: 8/23/1966
Registered Representative ExaminationSeries 00
Date: 6/25/1971
General Securities Principal ExaminationCurrent Firm
HEIDTKE & COMPANY, INC.
CRD#: 13951 / SEC#: , 8-30055
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEIDTKE, LYMAN OSCAR JR | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 241752 |
| SHELBY, DIANNE KIDD | SECRETARY |
Disclosures
| Regulatory Event | 7 |
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.
