Charles R. Cherry

SOUTHEAST INVESTMENTS, N.C.

Mills River, NC

CRD#: 716216

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Professional summary

Charles Randall Cherry is a registered financial advisor currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Mills River, North Carolina.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1980. Charles has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Randall Cherry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 27, 2015 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

RIA

CRD#: 43035

Mills River, NC

Past

October 15, 2007 - March 2, 2015

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

MILLS RIVER, NC

Past

July 10, 2006 - March 2, 2015

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

MILLS RIVER, NC

Past

December 31, 2001 - May 5, 2006

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

ASHEVILLE, NC

Past

April 17, 1998 - May 5, 2006

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

November 11, 1996 - July 29, 1998

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

April 15, 1996 - October 28, 1996

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

December 23, 1994 - April 11, 1996

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

October 3, 1994 - December 16, 1994

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

January 12, 1993 - August 25, 1993

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

April 27, 1992 - November 24, 1992

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 20, 1989 - June 18, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 6, 1988 - October 25, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 16, 1986 - September 28, 1988

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

March 13, 1984 - January 16, 1986

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

Past

July 16, 1981 - June 6, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

September 25, 1980 - June 25, 1981

MARION BASS SECURITIES CORPORATION

CRD#: 7961

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/11/2015)

Nevada
(8/25/2015)

North Carolina
(4/24/2015)

South Carolina
(5/4/2015)

Virginia
(3/9/2015)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Charles R. Cherry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Randall Cherry's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

SECURITIES AMERICA, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

IFG NETWORK SECURITIES, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

SECURITIES AMERICA, INC.

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

FIRST UNION CAPITAL MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

MARION BASS SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1998

Series 63

Date: 6/24/1983

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1980

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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