Gavin O. Charlton
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.
Gavin O Charlton was a registered financial professional .
Gavin is a previously registered financial professional and started their career in finance in 2014. Gavin had worked at 4 firms and has passed the Series 65, Series 63, 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
May 1, 2023 - April 30, 2026
REGENCY WEALTH MANAGEMENT
March 30, 2020 - January 13, 2022
MURPHY CAPITAL MANAGEMENT INC
November 6, 2015 - July 24, 2018
BEACON WEALTH MANAGEMENT, LLC
June 19, 2014 - January 30, 2015
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
REGENCY WEALTH MANAGEMENT
CRD#: 131208 / SEC#: 801-72134
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REGENCY WEALTH MANAGEMENT
CRD#: 131208 / SEC#: 801-72134
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,257 |
| AUM (Assets Under Management) | $ 642,604,900 |
Red Flags
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