Charles L. Peeler
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 Lee Peeler JR, who also goes by Charles Lee (jr) Peeler, Charlie Peeler Jr, 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 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2003 - December 4, 2015
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
December 5, 2000 - April 30, 2003
PRESIDIO FINANCIAL SERVICES, INC.
October 25, 1995 - October 5, 2000
FRONTIER SECURITIES, INC.
March 2, 1988 - August 16, 1995
ROBERT W. BAIRD & CO. INCORPORATED
February 14, 1983 - February 9, 1988
RAUSCHER PIERCE REFSNES, INC.
September 17, 1982 - February 2, 1983
WALL STREET WEST, INC.
January 23, 1979 - April 26, 1982
RAUSCHER PIERCE REFSNES, INC.
February 24, 1978 - January 18, 1979
MORGAN STANLEY DW INC.
May 2, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
September 1, 1976 - June 28, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 8/23/1965
Registered Representative ExaminationCurrent Firm
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
CRD#: 124902 / SEC#: 801-63079, 8-65737
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAYMEN, SHANNON | CEO/CFO/CCO/LIMITED PARTNER | 2099783 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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