Charles W. Theis
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 William Theis, who also goes by C W Theis, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 5 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
June 10, 1986 - July 8, 1991
WAINWRIGHT, AUSTIN, STONE & CO.
January 21, 1986 - June 10, 1986
J. W. GANT & ASSOCIATES, INC.
August 2, 1984 - January 6, 1986
SECO SECURITIES, INC.
September 17, 1983 - April 19, 1984
SECO SECURITIES, INC.
October 27, 1976 - August 11, 1983
SECO SECURITIES, INC.
October 18, 1974 - October 4, 1976
INSTITUTIONAL SECURITIES OF COLORADO, INC.
March 12, 1974 - November 8, 1974
BARTON & COMPANY 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
Series 1
Date: 3/8/1974
Registered Representative ExaminationCurrent Firm
WAINWRIGHT, AUSTIN, STONE & CO.
CRD#: 10634 / SEC#: , 8-27866
Contact information
Documents
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.
