Charles H. Proctor
Professional summary
Charles H Proctor IV, who also goes by Charlie Proctor, Charles H Proctor, Charles Herbert Proctor, is a registered financial advisor currently at ROCK HARBOR CAPITAL LLC located in Birmingham, Michigan and FORESIDE FUND SERVICES, LLC located in Birmingham, Michigan.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Charles has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles H Proctor IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2024 - Present
ROCK HARBOR CAPITAL LLC
Office #1: 390 Park Street Suite 250, Birmingham, MI 48009February 11, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 390 Park Street Suite 250, Birmingham, MI 48009State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/7/2023)
(2/7/2023)
(4/27/2022)
(6/27/2024)
(4/27/2022)
(2/7/2023)
(4/27/2022)
(1/11/2024)
(2/7/2023)
(4/27/2022)
(4/27/2022)
(6/27/2024)
Exams
Series 7TO
Date: 2/11/2022
General Securities Representative ExaminationFINRA
Current Firm
ROCK HARBOR CAPITAL LLC
CRD#: 327728 / SEC#:
Contact information
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.
