Charles N. Macintosh
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 Nicholson Macintosh, who also goes by Mac Macintosh, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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 20, 2018 - March 7, 2022
FINANCE OF AMERICA SECURITIES LLC
May 7, 2012 - March 15, 2013
STERNE, AGEE & LEACH, INC.
April 2, 2012 - April 23, 2012
RAYMOND JAMES & ASSOCIATES, INC.
December 1, 2009 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
September 16, 2005 - October 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 2002 - July 27, 2005
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 9/20/2019
Investment Banking Registered Representative ExaminationCurrent Firm
FINANCE OF AMERICA SECURITIES LLC
CRD#: 284464 / SEC#: , 8-69803
Contact information
FINRA licenses (4 States and Territories)
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.
