Charles B. Runnels
Professional summary
Charles B Runnels, who also goes by Duke Runnels, is a registered financial professional currently at T.R. WINSTON & COMPANY, LLC located in Pasadena, California.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2013. Charles has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles B Runnels's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2013 - Present
T.R. WINSTON & COMPANY, LLC
Office #1: 45 S. Arroyo Pkwy, Pasadena, CA 91105State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2013)
Exams
FINRA
Current Firm
T.R. WINSTON & COMPANY, LLC
CRD#: 10571 / SEC#: , 8-27519
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUNNELS, G TYLER | DIRECTOR, CHAIRMAN AND CEO | 1415264 |
| KANG, KAREN | EXECUTIVE VICE PRESIDENT AND ROSFP | 4367718 |
| CRISWELL, JEFFREY LENOX SR | VICE PRESIDENT, SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 2121440 |
| HEMEDES, STEPHEN NATHANIEL | MUNICIPAL PRINCIPAL AND HEAD TRADER | 6870830 |
| SANCIO, GALE ANN | ASSISTANT SECRETARY, ROSFP | 1121258 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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