Erma M. Charles
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.
Erma Millard Charles, who also goes by Erma Mary Millard, was a registered financial professional .
Erma is a previously registered financial professional and started their career in finance in 2010. Erma had worked at 1 firm and has passed the SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2014 - May 4, 2016
MOODY CAPITAL SOLUTIONS, INC
April 28, 2010 - December 7, 2011
MOODY CAPITAL SOLUTIONS, 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
Exams
Series 62
Date: 4/26/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
MOODY CAPITAL SOLUTIONS, INC
CRD#: 15989 / SEC#: , 8-32928
Contact information
FINRA licenses (9 States and Territories)
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.
