Charles D. Sedlak
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 Douglas Sedlak, who also goes by C Douglas Sedlak, Doug Sedlak, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 1 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
October 10, 2014 - March 26, 2024
SOUTHEAST INVESTMENTS, N.C., INC.
March 9, 2011 - May 3, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
January 8, 2008 - December 31, 2008
INVESTORS CAPITAL CORP.
September 12, 2007 - December 31, 2008
INVESTORS CAPITAL CORP.
July 11, 2003 - October 20, 2006
OSAIC FS, INC.
August 21, 2002 - July 17, 2003
LEGACY FINANCIAL SERVICES, INC.
March 9, 2000 - July 22, 2002
MSI FINANCIAL SERVICES, INC.
March 7, 2000 - July 22, 2002
METROPOLITAN LIFE INSURANCE COMPANY
March 7, 2000 - July 22, 2002
MSI FINANCIAL SERVICES, INC.
May 5, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 5, 1980 - March 10, 2000
IDS LIFE INSURANCE COMPANY
May 5, 1980 - March 10, 2000
AMERIPRISE FINANCIAL 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
Exams
Series 1
Date: 4/28/1980
Registered Representative ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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