Charles N. Sirowitz
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 Neil Sirowitz, who also goes by Charles Sirro, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2011. Charles had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2021 - November 14, 2022
M STEVENS WEALTH ADVISORS, LLC
November 25, 2020 - March 22, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
May 1, 2018 - January 2, 2019
AEON CAPITAL INC
December 20, 2016 - September 25, 2019
AE WEALTH MANAGEMENT, LLC
October 29, 2014 - October 6, 2016
ASHTON THOMAS PRIVATE WEALTH
September 30, 2014 - April 12, 2018
ACCELERATED CAPITAL GROUP
October 23, 2012 - September 25, 2014
NFSG CORPORATION
October 8, 2012 - September 25, 2014
NEWBRIDGE SECURITIES CORPORATION
November 3, 2011 - August 14, 2012
1ST GLOBAL CAPITAL CORP.
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
Current Firm
M STEVENS WEALTH ADVISORS, LLC
CRD#: 291482 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 91 |
| AUM (Assets Under Management) | $ 7,282,831 |
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.
