Charles A. Durham
Professional summary
Charles Arnold Durham, who also goes by Charles Arnold Durham, Charles A Durham, is a registered financial professional currently at STERLING CAPITAL DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2003. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Arnold Durham's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 24, 2018 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209June 21, 2016 - June 13, 2018
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
November 9, 2010 - June 21, 2016
BROWN BROTHERS HARRIMAN & CO.
June 6, 2007 - December 1, 2009
PINEBRIDGE SECURITIES LLC
October 15, 2003 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
April 23, 2003 - June 14, 2007
CITIGROUP GLOBAL MARKETS 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
(7/26/2018)
Exams
FINRA
Current Firm
STERLING CAPITAL DISTRIBUTORS, LLC
CRD#: 103934 / SEC#: , 8-52396
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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