Charles H. Bolton
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 Harold Bolton JR, who also goes by Chuck Bolton Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 9 firms and has passed the Series 6 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
August 7, 2009 - October 4, 2010
NEXT FINANCIAL GROUP, INC.
March 9, 2006 - August 4, 2009
WATERSTONE FINANCIAL GROUP, INC.
October 10, 2003 - March 2, 2006
WESTMINSTER FINANCIAL SECURITIES, INC.
May 1, 2001 - December 17, 2003
INVESTORS CAPITAL CORP.
July 26, 2000 - April 19, 2001
CAPITAL BROKERAGE CORPORATION
May 25, 1983 - October 4, 1988
ADVANTAGE CAPITAL CORPORATION
April 21, 1983 - May 15, 1984
SIGNATOR INVESTORS, INC.
May 18, 1981 - January 18, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 18, 1981 - January 18, 1983
MONY SECURITIES CORPORATION
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
