Charles C. Collicutt
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 Caryl Collicutt SR, who also goes by Charles Carl Collicutt, Charles Caryl Collicutt, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1961. Charles had worked at 7 firms and has passed the Series 63, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 1992 - December 31, 2000
CAPE SECURITIES INC.
December 22, 1989 - December 17, 1991
COLLICUTT INVESTMENTS, INC.
June 22, 1988 - July 1, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 21, 1984 - May 24, 1988
CAPITAL CONCEPTS SECURITIES, INC.
September 26, 1979 - April 24, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 2, 1976 - September 20, 1979
INDEPENDENCE SECURITIES, INC.
August 25, 1961 - June 29, 1976
MCDANIEL LEWIS & COMPANY
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: 8/25/1961
Registered Representative ExaminationF04
Date: 6/28/1976
Financial Principal ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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