Steven P. Charron
Professional summary
Steven Phillip Charron was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial advisor and started their career in finance in 1980. Prior to being barred, Steven had worked at 5 firms, which includes ADVISOR'S CAPITAL INVESTMENTS INC, AUERBACH POLLAK & RICHARDSON INC., BARCLAY INVESTMENTS LLC, CITIGROUP GLOBAL MARKETS INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2002 - April 7, 2004
ADVISOR'S CAPITAL INVESTMENTS INC,
June 21, 1999 - December 14, 2001
AUERBACH, POLLAK & RICHARDSON INC.
May 18, 1995 - May 28, 1999
BARCLAY INVESTMENTS LLC
October 29, 1993 - May 25, 1995
CITIGROUP GLOBAL MARKETS INC.
September 26, 1980 - October 1, 1993
KIDDER, PEABODY & CO. INCORPORATED
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
ADVISOR'S CAPITAL INVESTMENTS INC,
CRD#: 104811 / SEC#: 801-26679
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 841,000 |
Red Flags
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