Charles E. Addis
Professional summary
Charles Emerson Addis is a registered financial professional currently at AW SECURITIES located in Houston, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2022. Charles has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Emerson Addis's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2023 - Present
AW SECURITIES
Office #1: 1800 W. Loop S. Ste 1980, Houston, TX 77027October 15, 2022 - August 24, 2023
FORESIDE FUND SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2023)
(10/12/2023)
Exams
Series 7TO
Date: 10/14/2022
General Securities Representative ExaminationFINRA
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
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Company Information
AW SECURITIES
CRD#: 103747Houston, TX 77027TRUST BUT VERIFY
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