Charles V. Marley
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 Victor Marley was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1998 - August 5, 2015
CAPROCK SECURITIES, INC.
January 13, 1993 - December 31, 1997
RETIREMENT INVESTMENT GROUP
February 10, 1982 - November 11, 1992
PFS INVESTMENTS INC.
June 29, 1981 - February 10, 1982
ENTERPRISE FUND DISTRIBUTORS, 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
Current Firm
CAPROCK SECURITIES, INC.
CRD#: 8014 / SEC#: , 8-24444
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
| Judgment/Lien | 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.
