Charles T. Rognon
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 Tennesson Rognon 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 63, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2004 - January 11, 2017
WESTPARK WEALTH ADVISORS, INC.
January 5, 2001 - December 31, 2004
IMS SECURITIES, INC.
January 5, 2001 - January 11, 2017
IMS SECURITIES, INC.
January 14, 1992 - December 31, 2000
OSAIC WEALTH, INC.
September 20, 1988 - December 17, 1991
HUCKIN FINANCIAL GROUP, INC.
May 23, 1988 - September 28, 1988
UR FINANCIAL, INC.
October 11, 1984 - September 9, 1986
MARKETING CONCEPTS
December 9, 1981 - July 29, 1983
GRANADA FINANCIAL SERVICES, INC.
December 9, 1975 - August 21, 1978
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
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 00
Date: 12/6/1975
General Securities Principal ExaminationCurrent Firm
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
Red Flags
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