Charles M. Spivey
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 Michael Spivey was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 1, Series 51 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 1, 2012 - August 5, 2013
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
September 28, 2012 - August 5, 2013
CAPITAL GUARDIAN, LLC
December 15, 2010 - October 5, 2012
EQUITABLE ADVISORS, LLC
December 15, 2010 - October 5, 2012
EQUITABLE ADVISORS, LLC
May 4, 2005 - August 10, 2010
WOODBURY FINANCIAL SERVICES, INC.
May 4, 2005 - August 10, 2010
WOODBURY FINANCIAL SERVICES, INC.
October 5, 2004 - April 29, 2005
MONY SECURITIES CORPORATION
June 18, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
June 21, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 21, 1988 - April 29, 2005
MONY SECURITIES CORPORATION
March 4, 1983 - June 25, 1988
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
July 28, 1980 - November 17, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 28, 1980 - November 17, 1982
MONY SECURITIES CORPORATION
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: 7/15/1980
Registered Representative ExaminationCurrent Firm
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
CRD#: 131631 / SEC#: 801-63969
Contact information
Red Flags
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