Charles G. Sobel
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 Gilbert Sobel was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 5 firms and has passed the SIE, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2010 - December 31, 2015
WORLD INVESTMENTS, LLC
November 19, 2007 - December 31, 2015
WORLD INVESTMENTS, LLC
January 16, 2003 - November 20, 2007
CONTEMPORARY FINANCIAL SOLUTIONS, INC.
March 21, 2001 - October 10, 2002
USALLIANZ SECURITIES, INC.
June 11, 1996 - December 31, 2000
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - June 11, 1996
ADVANTAGE CAPITAL CORPORATION
May 10, 1980 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
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: 5/5/1980
Registered Representative ExaminationSeries 2
Date: 9/26/1973
Non-Member General Securities ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
