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CN

Charles North

TPG CAPITAL BD
Fort Worth, TX 76102
Some features on this profile are disabled
CRD#: 6944562
CN

Professional summary

Charles North, who also goes by Charles A North, is a registered financial professional currently at TPG CAPITAL BD, LLC located in Fort Worth, Texas.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2023. Charles has worked at 1 firm and has passed the Series 7TO, SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles A North

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles North's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 3, 2023 - Present

TPG CAPITAL BD, LLC

Office #1: 301 Commerce Street Ste 3300, Fort Worth, TX 76102
BD
CRD#: 143876
Fort Worth, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/19/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 7/10/2025
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TPG CAPITAL BD, LLC
TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: , 8-67616

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Mailing Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Phone number
(817) 871-4000
Established
Texas since 03/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TPG BD ADVISORS, LLCSOLE MEMBER
DAVIDSON, MARTIN LOUISFINOP AND PRINCIPAL FINANCIAL OFFICER5330788
UMAYAM, MICHAELCHIEF COMPLIANCE OFFICER6814011
WEINGART, JACK CHARLESCEO1879144

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.

Company Information

TPG CAPITAL BD, LLC

CRD#: 143876Fort Worth, TX 76102

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