Charles M. Ackerman
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 Meyer Ackerman was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1970. Charles had worked at 6 firms and has passed the Series 15, Series 5, PC, Series 12 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
August 27, 1974 - May 7, 1993
MORGAN STANLEY DW INC.
August 23, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 9, 1973 - September 22, 1973
INTERPACIFIC INVESTORS INC
April 20, 1972 - February 20, 1974
SUNSET FINANCIAL SERVICES, INC.
January 13, 1970 - December 31, 1974
GLENWOOD SECURITIES, INC.
January 13, 1970 - April 27, 1976
PENNSYLVANIA EQUITIES 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
Series 15
Date: 8/8/1986
Foreign Currency Options ExaminationSeries 5
Date: 11/30/1981
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 12
Date: 9/18/1982
NYSE Branch Manager ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
