Charles Walters
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 Walters, who also goes by B Charles Walters, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2020 - December 31, 2020
SELECT CAPITAL STRATEGIES
July 10, 2014 - December 31, 2019
SELECT CAPITAL STRATEGIES
February 13, 2009 - December 28, 2015
THE FINANCIAL CONNECTION
January 8, 2008 - December 31, 2008
THE FINANCIAL CONNECTION
July 8, 1997 - November 11, 2014
OSAIC WEALTH, INC.
November 19, 1989 - November 11, 2014
OSAIC WEALTH, INC.
February 1, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 16, 1977 - February 19, 1985
EQUITEC SECURITIES COMPANY
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: 8/11/1977
Registered Representative ExaminationSeries 40
Date: 7/6/1978
Registered Principal ExaminationCurrent Firm
SELECT CAPITAL STRATEGIES
CRD#: 169483 / 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
