Charles E. Childs
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 Edward Childs III, who also goes by Charles Edward Childs, Chic Childs, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1980. Charles had worked at 13 firms and has passed the Series 63, 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
November 11, 2005 - February 7, 2012
BLUE MOON FINANCIAL, LLC
October 6, 2004 - July 6, 2005
CETERA INVESTMENT ADVISERS LLC
January 1, 2004 - July 6, 2005
CETERA FINANCIAL SPECIALISTS LLC
July 3, 2000 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
December 22, 1998 - May 22, 2000
JWGENESIS FINANCIAL GROUP, INC
July 26, 1996 - January 4, 1999
CHATFIELD DEAN & CO., INC.
February 21, 1996 - August 19, 1996
PENTAD SECURITIES, INC.
April 25, 1994 - December 31, 1994
PENTAD SECURITIES, INC.
October 1, 1990 - September 28, 1993
LEWIS & CLARK SECURITIES, INC.
August 9, 1988 - October 5, 1990
INTERCAP FINANCIAL CORPORATION
December 12, 1985 - July 29, 1988
CHRISTOPHER WEIL & COMPANY, INC
August 6, 1985 - December 23, 1985
RCL SECURITIES CORPORATION
April 15, 1985 - July 29, 1985
HICKEY, KOBER, INCORPORATED
September 5, 1980 - June 18, 1985
INTEGRATED RESOURCES EQUITY 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: 8/27/1980
Registered Representative ExaminationCurrent Firm
BLUE MOON FINANCIAL, LLC
CRD#: 123224 / SEC#: , 8-65576
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 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.
