Charles A. Utter
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 Arvin Utter, who also goes by Chuck Utter, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1982. Charles had worked at 6 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2006 - December 31, 2012
OXFORD FINANCIAL DESIGNS, INC
November 22, 2000 - November 19, 2004
CETERA ADVISORS LLC
October 27, 2000 - November 19, 2004
CETERA ADVISORS LLC
October 30, 1990 - November 7, 2000
MML INVESTORS SERVICES, LLC
February 21, 1986 - November 5, 1990
CETERA WEALTH SERVICES, LLC
April 18, 1983 - February 19, 1986
CONSOLIDATED INVESTMENT SERVICES, INC.
September 28, 1982 - March 30, 1987
NYLIFE SECURITIES LLC
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: 7/28/1977
Registered Representative ExaminationCurrent Firm
OXFORD FINANCIAL DESIGNS, INC
CRD#: 133183 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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