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Charles E. Wood

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CRD#: 471856
CW

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 Edwin Wood was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 11 firms and has passed the Series 63 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 19, 2002 - September 7, 2006

MUNICIPAL PARTNERS, LLC

BD
CRD#: 119992
NEW YORK, NY
Past

April 18, 2002 - August 8, 2002

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

January 4, 1999 - April 10, 2002

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

October 14, 1996 - October 5, 1998

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

October 14, 1996 - October 5, 1998

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

March 15, 1993 - October 3, 1996

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY
Past

January 25, 1991 - January 18, 1993

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

April 23, 1985 - January 25, 1991

CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.

BD
CRD#: 10780
Past

October 21, 1980 - March 12, 1984

TITUS & DONNELLY LLC

BD
CRD#: 7033
Past

February 24, 1978 - October 29, 1980

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 16, 1973 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466
Past

July 25, 1972 - May 16, 1973

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 209
Past

November 3, 1970 - March 7, 1972

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 6/3/1969
Registered Representative Examination

Current Firm

MP
MUNICIPAL PARTNERS, LLC
MUNICIPAL PARTNERS, LLC

CRD#: 119992 / SEC#: , 8-65245

BD
Terminated by SEC on 12/03/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KELLY, BRIAN JOHNMANAGING MEMBER1003270
EGAN, GEORGE THOMASMUNICIPAL SECURITIES PRINCIPAL500940
MANZO, MARK THOMASFINOP1229739
SOBOSAN, JOHN RICHARDCHIEF COMPLIANCE OFFICER / GENERAL SECURITIES PRINCIPAL1194996

Disclosures

Regulatory Event1

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.

Company Information

MUNICIPAL PARTNERS, LLC

CRD#: 119992

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