Charles E. Newton

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CRD#: 501580

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 Ernest Newton, who also goes by Charlie Newton, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Newton

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

May 21, 2013 - November 13, 2025

COMMERCE STREET CAPITAL, LLC

CRD#: 143797

DALLAS, TX

Past

January 2, 2009 - May 5, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OKLAHOMA CITY, OK

Past

January 12, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

OKLAHOMA CITY, OK

Past

January 3, 2007 - May 5, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OKLAHOMA CITY, OK

Past

October 16, 2000 - December 15, 2006

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

OKLAHOMA CITY, OK

Past

September 22, 2000 - December 15, 2006

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

OKLAHOMA CITY, OK

Past

January 4, 1991 - September 29, 2000

THE BAKER GROUP, LP

CRD#: 7888

OKLAHOMA CITY, OK

Past

July 31, 1989 - October 11, 1989

THE BAKER GROUP, LP

CRD#: 7888

OKLAHOMA CITY, OK

Past

July 17, 1989 - January 10, 1991

COMMUNITY BANCBROKERAGE CORPORATION

CRD#: 23582

Past

January 15, 1987 - November 22, 1988

FINSER INVESTMENT COMPANY

CRD#: 14981

Past

May 18, 1979 - January 13, 1987

INVESTMENT SECURITIES OF OKLAHOMA, INC.

CRD#: 7950

Past

February 6, 1976 - April 29, 1979

WOOLSEY & COMPANY, INCORPORATED

CRD#: 7012

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

Series 63

Date: 5/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1986

General Securities Principal Examination

Current Firm

COMMERCE STREET CAPITAL, LLC

CRD#: 143797 / SEC#: , 8-67606

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

1445 Ross Ave. Suite 2700, Dallas, TX 75202

Mailing Address

1445 Ross Ave. Suite 2700, Dallas, TX 75202

Phone number

(214) 545-6800

Established

Texas since 01/18/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COMMERCE STREET HOLDINGS, LLC	MEMBER
GROSS, WILLIAM DUDLEY	CHAIRMAN	1032405
HASHAWAY, BOBBY LEE	CCO, COO, EVP, SECRETARY	5675925
JOHN, VARKEY (NMN)	FINOP	4530162
WILEY, DORY ALAN	PRESIDENT, CEO	2034240

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.

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Firm Stability Insights

Charles E. Newton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

THE BAKER GROUP, LP

THE BAKER GROUP, LP

COMMUNITY BANCBROKERAGE CORPORATION

FINSER INVESTMENT COMPANY

INVESTMENT SECURITIES OF OKLAHOMA, INC.

WOOLSEY & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1984

Series 24

Date: 4/28/1986

Current Firm

COMMERCE STREET CAPITAL, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

COMMERCE STREET CAPITAL, LLC

TRUST BUT VERIFY

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