Charles W. Eye
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 William Eye was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 6 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2002 - January 3, 2013
U.S. BROKERAGE, INC.
June 19, 1995 - April 16, 2002
ACUMENT SECURITIES, INC.
February 5, 1991 - April 25, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1988 - January 24, 1991
LEGG MASON WOOD WALKER, INCORPORATED
March 18, 1985 - October 17, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
December 1, 1980 - January 17, 1985
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
U.S. BROKERAGE, INC.
CRD#: 39307 / SEC#: , 8-48635
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
