Michael E. Charlton
Professional summary
Michael Eugene Charlton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Michael had worked at 3 firms, which includes J.J.B. HILLIARD W.L. LYONS LLC, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2001 - January 10, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
August 14, 2000 - August 24, 2001
UBS FINANCIAL SERVICES INC.
July 26, 1977 - August 14, 2000
J.C. BRADFORD & CO.
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
Current Firm
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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