Charles Almy
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 Almy was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 000, Series 1, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2015 - August 14, 2019
REDE WEALTH, LLC
September 25, 2009 - January 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 25, 2009 - January 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 1994 - September 25, 2009
UBS FINANCIAL SERVICES INC.
August 12, 1994 - September 25, 2009
UBS FINANCIAL SERVICES INC.
September 16, 1977 - August 24, 1979
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1976 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
September 4, 1974 - October 2, 1976
DAIN, KALMAN & QUAIL, INCORPORATED
August 30, 1974 - August 12, 1994
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
REDE WEALTH, LLC
CRD#: 173346 / SEC#: 801-80719
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: 6/20/1977
AMEX Put and Call ExamSeries 000
Date: 8/30/1974
General Securities Principal ExaminationSeries 1
Date: 8/30/1974
Registered Representative ExaminationSeries 8
Date: 10/3/1981
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REDE WEALTH, LLC
CRD#: 173346 / SEC#: 801-80719
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 490 |
| AUM (Assets Under Management) | $ 313,317,703 |
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.
