Charles Tarkanian
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 Tarkanian was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 6 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2005 - December 31, 2016
FINANCIAL WEST GROUP
March 9, 2002 - June 23, 2005
RBC CAPITAL MARKETS, LLC
May 8, 1985 - March 9, 2002
SUTRO & CO. INCORPORATED
December 28, 1973 - May 21, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 1, 1973 - January 31, 1974
HAYDEN STONE INC.
July 22, 1970 - April 1, 1973
MITCHUM, JONES & TEMPLETON 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: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 2/25/1963
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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