Charles D. Tunstall
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 Dudley Tunstall, who also goes by Charlie Tunstall, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 53 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2011 - May 16, 2016
PIPER SANDLER & CO.
September 13, 2010 - August 8, 2011
KEYBANC CAPITAL MARKETS INC.
March 15, 2004 - September 20, 2010
SCOTT & STRINGFELLOW, LLC
July 1, 2003 - March 17, 2004
WELLS FARGO SECURITIES, LLC
February 28, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 30, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 18, 1994 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 24, 1993 - October 18, 1994
WACHOVIA SECURITIES, INC.
October 2, 1987 - March 6, 1993
BRIDGE TRADING COMPANY
October 11, 1978 - August 4, 1987
RAUSCHER PIERCE REFSNES, INC.
April 16, 1974 - October 22, 1978
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 4/12/1974
Registered Representative ExaminationSeries 12
Date: 4/11/1981
NYSE Branch Manager ExaminationCurrent Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
