Charles R. Tyler
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 Ray Tyler JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 8 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
September 21, 2006 - November 15, 2007
NORTHEAST SECURITIES, LLC
August 29, 2005 - December 31, 2021
CORNERSTONE MANAGEMENT, INC.
May 6, 2003 - December 31, 2004
CORNERSTONE MANAGEMENT, INC.
May 11, 1995 - April 7, 2004
NORTHEAST SECURITIES, LLC
December 13, 1989 - May 1, 1995
ARGENT SECURITIES, INC.
November 19, 1989 - December 19, 1989
OSAIC WEALTH, INC.
April 20, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 8, 1985 - April 28, 1988
PPA INVESTMENTS, INC.
October 31, 1977 - May 15, 1984
WZW FINANCIAL SERVICES, INC.
May 4, 1977 - November 18, 1977
INTEGRATED RESOURCES EQUITY CORPORATION
March 15, 1974 - May 25, 1977
ETI INVESTMENT CORPORATION
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: 3/13/1974
Registered Representative ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
