Charles E. Ohara
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 Edward Ohara, who also goes by Charles Edward Ohara IV, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1981. Charles had worked at 11 firms and has passed the Series 65, Series 63, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - May 31, 2013
SIGNATOR FINANCIAL SERVICES, INC.
October 26, 2004 - December 9, 2014
O'HARA, IV. CHARLES EDWARD
January 2, 2002 - December 31, 2009
INVESTORS CAPITAL CORP.
September 25, 2000 - December 31, 2001
INVESTORS CAPITAL CORP.
March 25, 1999 - September 25, 2000
INVESTORS CAPITAL CORP.
October 1, 1997 - February 18, 1999
OSAIC FS, INC.
April 7, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 15, 1995 - December 12, 1995
VERAVEST INVESTMENTS, INC.
September 13, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 15, 1990 - September 17, 1991
SOARES FINANCIAL GROUP, INC.
April 25, 1986 - September 27, 1988
INVESTMENT BROKERS OF AMERICA
October 1, 1982 - May 8, 1986
WADDELL & REED
August 7, 1981 - August 27, 1982
FORESTERS FINANCIAL SERVICES, 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 62
Date: 7/24/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
SIGNATOR FINANCIAL SERVICES, INC.
CRD#: 19061 / SEC#: 801-66750, 8-37112
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ABERIZK, EMIL JOSEPH JR | DIRECTOR | 1049525 |
| ARMSTRONG, ABIGAIL MARIE | SECRETARY/CLERK & COUNSEL | 1239945 |
| CLARK, JEFFREY STEPHEN | VICE PRESIDENT, DIRECTOR OF FINANCE, FINANCIAL PRINCIPAL | 4974902 |
| HEAPPS, BRIAN BASIL | DIRECTOR | 1666475 |
| HORACK, THOMAS JOSEPH | CHIEF COMPLIANCE OFFICER | 861315 |
| K VD HAGEN, HALINA | DIRECTOR | 6582303 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | DIRECTOR | 4364402 |
| SUMINSKI, JOHN WILLIAM | DIRECTOR | 6009337 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
Disclosures
| Regulatory Event | 2 |
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.
