Charles W. Munro
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 Wesley Munro was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2022 - February 27, 2025
J.P. MORGAN SECURITIES LLC
November 14, 2022 - February 27, 2025
J.P. MORGAN SECURITIES LLC
August 2, 2022 - August 22, 2022
B. RILEY WEALTH ADVISORS, INC.
November 16, 2016 - August 22, 2022
B. RILEY WEALTH MANAGEMENT
November 15, 2016 - August 22, 2022
B. RILEY WEALTH MANAGEMENT
January 18, 2011 - November 9, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 18, 2011 - November 9, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 1, 2009 - January 27, 2011
MORGAN STANLEY
June 1, 2009 - January 27, 2011
MORGAN STANLEY
October 4, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 16, 1992 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 25, 1990 - October 22, 1992
UBS FINANCIAL SERVICES INC.
March 22, 1988 - June 13, 1990
LEHMAN BROTHERS INC.
November 30, 1976 - January 7, 1988
E. F. HUTTON & COMPANY INC
November 1, 1974 - December 10, 1976
BLYTH EASTMAN DILLON & CO. INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/17/1977
AMEX Put and Call ExamSeries 1
Date: 10/23/1974
Registered Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
