Charles H. Waldo
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 H Waldo, who also goes by Charles H (io) Waldo, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1981. Charles had worked at 13 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2010 - August 1, 2014
STILLPOINT CAPITAL, LLC
April 29, 2009 - August 17, 2009
STILLPOINT CAPITAL, LLC
March 24, 2008 - April 28, 2009
HALEN CAPITAL
August 15, 2006 - April 28, 2009
HALEN CAPITAL
August 10, 2004 - August 10, 2006
ADAMSON BROTHERS INC.
July 12, 1995 - June 25, 1998
CHESTNUT HILL SECURITIES,INC.
July 10, 1992 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1991 - August 11, 1992
EXPANSION CAPITAL SECURITIES
February 28, 1989 - June 5, 1990
LONDON ZURICH SECURITIES, INC.
March 31, 1988 - March 2, 1989
SECURITIES USA, INC.
August 31, 1984 - October 27, 1987
J. W. GANT & ASSOCIATES, INC.
January 3, 1984 - March 27, 1984
J. W. GANT & ASSOCIATES, INC.
October 7, 1983 - April 26, 1989
J.D. COPPERFIELD, LTD.
September 17, 1983 - December 8, 1983
BLINDER, ROBINSON & CO., INC.
June 24, 1982 - October 4, 1983
CENTENNIAL STATE SECURITIES, INC.
January 19, 1981 - June 9, 1982
OTC NET 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
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 States and Territories)
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.
