Charles W. Ziegler
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 William Ziegler III, who also goes by Charles William Ziegler, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 3 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 1990 - September 19, 1991
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
April 21, 1971 - January 24, 1974
MCMILLEN FINANCIAL SERVICES CORPORATION
December 9, 1970 - March 2, 1989
CHARLES WILLIAM ZIEGLER III
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: 2/10/1968
Registered Representative ExaminationSeries 00
Date: 11/14/1970
General Securities Principal ExaminationCurrent Firm
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
CRD#: 24220 / SEC#: , 8-41042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANADA LIFE INSURANCE COMPANY OF AMERICA | PARENT | |
| BYRNE, BEVERLY ANN | SECRETARY | 1983774 |
| DERBACK, GLEN RAY | TREASURER | 1330783 |
| GILE, SUSAN CURTIS | ADMINISTRATIVE OFFICER | 1689044 |
| LAEYENDECKER, RONALD JOHN | VICE PRESIDENT | 2420179 |
| LUIZ, TERESA LYNN | COMPLIANCE OFFICER | 1573186 |
| MAIERS, MARY CAROL | INVESTMENTS COMPLIANCE OFFICER & FINANCIAL OPERATIONS PRINCIPAL | 4468209 |
| MCDONALD, GRAHAM RICHARD | DIRECTOR | 1250661 |
| NELSON, CHARLES PATRICK | DIRECTOR & PRESIDENT | 1161349 |
| SHAW, ROBERT KENNETH | DIRECTOR | 1224633 |
Red Flags
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