Charles A. Botzum
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 Albert Botzum III, who also goes by Charles Albert Botzum, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 4 firms and has passed the Series 7TO, Series 99TO, SIE, Series 24, Series 53, Series 14, Series 27 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
July 12, 1988 - September 10, 1988
FIELDS, CAREY & CO., INC.
September 23, 1985 - April 18, 2008
HAMMOND & BOTZUM, INCORPORATED
September 18, 1984 - August 8, 1986
HAMMOND, PETERS & SMITH, INC.
September 16, 1977 - January 4, 2024
C. A. BOTZUM & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 40
Date: 9/12/1977
Registered Principal ExaminationCurrent Firm
FIELDS, CAREY & CO., INC.
CRD#: 21692 / SEC#: , 8-39136
Contact information
Documents
Red Flags
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