Charles W. Schweizer
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 Warner Schweizer was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1975. Charles had worked at 8 firms and has passed the Series 65, Series 63, Series 1, Series 4, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2006 - December 31, 2014
LCI ADVISORS
February 25, 2004 - December 31, 2007
FLAGSTONE SECURITIES, LLC
January 25, 1995 - December 31, 2003
STIFEL INDEPENDENT ADVISORS, LLC
January 17, 1995 - January 25, 1995
NORTH AMERICAN MANAGEMENT, INC.
November 18, 1988 - January 10, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 29, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
June 1, 1982 - January 18, 1985
ROWLAND CLEARING SERVICES, INC.
April 1, 1975 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
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 1
Date: 3/22/1975
Registered Representative ExaminationSeries 40
Date: 4/9/1977
Registered Principal ExaminationF04
Date: 2/12/1977
Financial Principal ExaminationCurrent Firm
LCI ADVISORS
CRD#: 122383 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 91 |
| AUM (Assets Under Management) | $ 51,362,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
