Charles W. Davis
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 Whitman Davis was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1968. Charles had worked at 19 firms and has passed the Series 63, SIE, PC, Series 000 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
January 10, 2018 - December 31, 2019
CAPE SECURITIES INC.
December 7, 2016 - September 28, 2017
CAPE SECURITIES INC.
February 1, 2010 - July 29, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2008 - February 2, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2002 - March 20, 2002
RBC CAPITAL MARKETS, LLC
February 19, 2002 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 18, 2001 - March 9, 2002
SUTRO & CO. INCORPORATED
February 16, 1999 - October 17, 2001
RAYMOND JAMES & ASSOCIATES, INC.
May 13, 1996 - March 1, 1999
WACHOVIA SECURITIES, INC.
March 22, 1993 - May 16, 1996
MORGAN STANLEY DW INC.
June 11, 1990 - March 25, 1993
CITIGROUP GLOBAL MARKETS INC.
January 24, 1989 - June 27, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
September 16, 1987 - February 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 9, 1987 - September 24, 1987
JOHNSON, LANE, SPACE, SMITH & CO., INC.
July 16, 1982 - February 6, 1985
J.C. BRADFORD & CO.
August 24, 1979 - July 23, 1982
THE ROBINSON-HUMPHREY COMPANY, LLC
September 26, 1978 - September 16, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 29, 1977 - September 1, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 20, 1976 - April 30, 1977
LOEB, RHOADES & CO. INC.
July 25, 1974 - October 1, 1976
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 10, 1972 - August 10, 1974
J.C. BRADFORD & CO.
July 8, 1970 - May 30, 1972
VAN ALSTYNE, NOEL & CO.
August 26, 1968 - March 14, 1987
DREXEL BURNHAM LAMBERT 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
PC
Date: 5/31/1989
AMEX Put and Call ExamSeries 000
Date: 8/26/1968
General Securities Principal ExaminationSeries 1
Date: 8/26/1968
Registered Representative 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
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.
