Charles R. Huffington
Professional summary
Charles Russ Huffington is a registered financial professional currently at BOUSTEAD SECURITIES, LLC located in Irvine, California and SUTTER SECURITIES INCORPORATED located in Irvine, California.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1977. Charles has worked at 16 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Russ Huffington's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2021 - Present
BOUSTEAD SECURITIES, LLC
Office #1: 6 Venture Suite 395, Irvine, CA 92618May 25, 2021 - Present
SUTTER SECURITIES INCORPORATED
Office #1: 6 Venture, Suite 395 Suite 395, Irvine, CA 92618September 19, 2011 - May 21, 2021
CALTON & ASSOCIATES, INC.
June 5, 2008 - April 12, 2012
CHOICE INVESTMENTS, INC.
July 20, 2001 - May 20, 2008
EMPIRE FINANCIAL GROUP, INC.
June 7, 1996 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 3, 1995 - May 14, 1996
SUNPOINT SECURITIES, INC.
January 9, 1995 - January 20, 1995
FIRST ALLIED SECURITIES, INC.
February 10, 1994 - August 29, 1995
FIRST AFFILIATED SECURITIES
August 2, 1993 - November 24, 1993
MORGAN KEEGAN & COMPANY, LLC
January 21, 1993 - August 2, 1993
CAPITOL SECURITIES GROUP, INC.
October 6, 1989 - December 24, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 24, 1989 - October 25, 1989
ROTAN MOSLE INC.
September 29, 1986 - July 24, 1989
UBS FINANCIAL SERVICES INC.
April 9, 1979 - October 20, 1986
RAUSCHER PIERCE REFSNES, INC.
October 10, 1977 - November 16, 1983
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/25/2021)
(6/4/2021)
Exams
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 10/1/1977
Registered Representative ExaminationFINRA
Current Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 2 |
| Bond | 1 |
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.
