Charles R. Wooters
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 Reynolds Wooters JR, who also goes by Charlie Wooters, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2011 - January 8, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
June 4, 2009 - December 20, 2011
INTERCOASTAL CAPITAL MARKETS, INC.
October 10, 2003 - July 31, 2007
BROWN ADVISORY SECURITIES, LLC
June 16, 2003 - October 10, 2003
BROWN ADVISORY SECURITIES, LLC
June 13, 2003 - July 31, 2007
BROWN ADVISORY SECURITIES, LLC
July 13, 1995 - June 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - June 19, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 11, 1988 - May 20, 1989
LEHMAN BROTHERS INC.
January 3, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
October 10, 1978 - February 9, 1984
MORGAN STANLEY DW INC.
September 1, 1976 - October 9, 1978
LAIDLAW, MARTIN & MOYSEY, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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: 3/3/1989
AMEX Put and Call ExamSeries 8
Date: 11/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
