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Charles Michael Mayeux

CRD# 728939·Registered 1981 - 1990
Previously Registered: Being a previously registered professional could mean that Charles 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.

Professional Summary

Charles Michael Mayeux, who also goes by Mike Mayeux, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1981 - 1990. Charles had worked at 10 firms and has passed the Series 63, Series 3 and Series 52 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mike Mayeux

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

THE TRADING DESK, INC.·CRD# 22908
BD
February 26, 1990 - December 4, 1990
SWINK & COMPANY, INC.·CRD# 7111
BD
December 8, 1989 - January 13, 1990
ACUMENT SECURITIES, INC.·CRD# 7661
BD
October 16, 1989 - November 2, 1989
APPLE SECURITIES, INC.·CRD# 19799
BD
May 25, 1989 - August 29, 1989
POWELL & SATTERFIELD, INC.·CRD# 7030
BD
April 6, 1989 - April 22, 1989
U.S. ASSOCIATES, INC.·CRD# 13511
BD
August 16, 1988 - February 13, 1989
SWINK & COMPANY, INC.·CRD# 7111
BD
August 3, 1985 - August 9, 1988
FIRST INVESTMENT SECURITIES, INC.·CRD# 13459
BD
July 27, 1983 - June 27, 1985
PARK, RYAN, INC.·CRD# 7154
BD
April 6, 1983 - July 14, 1983
UNITED CAPITAL CORPORATION·CRD# 8268
BD
May 6, 1982 - March 29, 1983
BRITTENUM & ASSOCIATES, INC.·CRD# 7179
BD
April 13, 1981 - April 23, 1982

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Current Firm

TT
THE TRADING DESK, INC.

THE TRADING DESK, INC.

CRD#: 22908 / SEC#: 8-39875
BD
Terminated by SEC on 02/20/1995

Contact Information

Established

Colorado since 07/26/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1981About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Apr 1986About the Series 3 exam

Series 52 — Municipal Securities Representative Examination

Passed Apr 1981About the Series 52 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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