Charles A. Nevois
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 Alexander Nevois, who also goes by Charles Alexander Nevois Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 13 firms and has passed the Series 63, 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
June 19, 2008 - July 18, 2013
SCOTTRADE, INC.
November 7, 2007 - June 12, 2008
FIRST STATE FINANCIAL MANAGEMENT, INC.
March 2, 2006 - October 23, 2007
NATCITY INVESTMENTS, INC.
October 3, 2003 - June 20, 2006
FIRST STATE FINANCIAL MANAGEMENT, INC.
March 21, 2001 - October 30, 2003
CETERA WEALTH SERVICES, LLC
December 1, 1999 - March 13, 2001
WALNUT STREET SECURITIES, INC.
August 3, 1998 - December 2, 1999
IFMG SECURITIES, INC.
June 3, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
January 3, 1994 - June 3, 1996
MARKET STREET SECURITIES, INC.
April 27, 1990 - January 1, 1994
MARKETING ONE SECURITIES, INC.
March 22, 1989 - October 18, 1989
MARKETING ONE SECURITIES, INC.
March 26, 1984 - April 3, 1989
SIGNATOR INVESTORS, INC.
November 30, 1983 - March 8, 1984
ROWLAND CLEARING SERVICES, INC.
September 19, 1981 - April 13, 1982
R. ROWLAND & CO., INCORPORATED
September 25, 1980 - September 11, 1981
MORGAN STANLEY DW 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
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| 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.
