Charles M. Pine
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 Mitchell Pine JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 7 firms and has passed the 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
December 1, 2009 - December 23, 2019
VAN CLEMENS & CO. INCORPORATED
February 21, 2003 - November 30, 2009
FELTL & COMPANY
June 7, 1988 - February 21, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
February 1, 1988 - June 9, 1988
OBERWEIS SECURITIES, INC.
April 13, 1983 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
April 7, 1982 - April 8, 1983
PAGEL INC.
April 25, 1980 - April 12, 1982
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
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
Current Firm
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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