Charles W. Kraut
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 William Kraut was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1980. Charles had worked at 11 firms and has passed the Series 65, Series 63, Series 5, Series 7 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
May 11, 2007 - May 28, 2014
CHARLES W. KRAUT, MBA
May 30, 1991 - October 27, 2000
SUNAMERICA SECURITIES, INC.
January 4, 1991 - June 11, 1991
MONY SECURITIES CORPORATION
September 11, 1989 - November 27, 1989
MARKETING ONE SECURITIES, INC.
June 18, 1989 - December 31, 1990
SUNAMERICA SECURITIES, INC.
January 5, 1989 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
September 24, 1986 - January 10, 1989
SECURITY DISTRIBUTORS
January 8, 1986 - October 26, 1987
FIRST SECURITIES CORPORATION OF THE SOUTHWEST
January 8, 1985 - January 18, 1986
RAUSCHER PIERCE REFSNES, INC.
October 20, 1983 - December 28, 1984
CITIGROUP GLOBAL MARKETS INC.
April 26, 1982 - October 28, 1983
RAUSCHER PIERCE REFSNES, INC.
April 3, 1981 - May 4, 1982
LPL FINANCIAL LLC
March 21, 1980 - February 7, 1981
RAY ESPOSITO & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 8/22/1983
Interest Rate Options ExaminationCurrent Firm
CHARLES W. KRAUT, MBA
CRD#: 114705 / SEC#:
Contact information
Red Flags
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