Charles C. Hooper
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 Cortland Hooper was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 2001. Charles had worked at 5 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2008 - March 20, 2008
DBSI SECURITIES CORPORATION
January 1, 2008 - March 5, 2008
WEST RIDGE SECURITIES LLC
June 26, 2007 - December 20, 2007
WADDELL & REED
February 9, 2007 - December 20, 2007
WADDELL & REED
May 13, 2003 - February 11, 2005
EMPIRE SECURITIES CORPORATION
November 2, 2001 - March 5, 2003
FORESTERS EQUITY SERVICES, 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
Current Firm
DBSI SECURITIES CORPORATION
CRD#: 11687 / SEC#: , 8-24914
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Financial | 1 |
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.
