Charles D. Mckittrick
Professional summary
Charles Dennis Mckittrick was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Charles had worked at 5 firms, which includes SOUTHERN FINANCIAL GROUP INC., KEOGLER MORGAN & COMPANY INC., CAPITAL INVESTMENT GROUP INC., MCCARLEY AND ASSOCIATES INC., JOHNSON LANE SPACE SMITH & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1994 - May 21, 2002
SOUTHERN FINANCIAL GROUP, INC.
November 22, 1993 - April 19, 1994
KEOGLER, MORGAN & COMPANY, INC.
August 6, 1993 - November 24, 1993
CAPITAL INVESTMENT GROUP, INC.
March 29, 1988 - August 9, 1993
MCCARLEY AND ASSOCIATES, INC.
June 24, 1976 - April 13, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
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
PC
Date: 10/17/1977
AMEX Put and Call ExamCurrent Firm
SOUTHERN FINANCIAL GROUP, INC.
CRD#: 16714 / SEC#: , 8-34534
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ATLANTIC SECURITIES EXCHANGE, INC. | OWNERSHIP | |
| BANK, FRANK TOM | EXECUTIVE VICE PRESIDENT/MUNICIPAL PRINCIPAL | 500594 |
| COLLINS, CLELLAND DAVID JR | SECRETARY, EXC. VICE PRES. | 2331596 |
| MAURER, MARK HENRY | EXECUTIVE VICE PRESIDENT/OPERATIONS/DIRECTOR OF COMPLIANCE/ SROP/CROP | 1496683 |
| WOOTEN, RICHARD MCNAIR | CHAIRMAN/CFO, PRESIDENT/CEO |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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