Charles R. Dudley
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 Robert Dudley II, who also goes by Chuck Dudley, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 5 firms and has passed the Series 63, Series 6, Series 18, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2005 - June 1, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 2, 2003 - January 18, 2006
SAMCO FINANCIAL SERVICES, INC.
December 10, 2002 - December 31, 2002
ARGENT INVESTMENT SERVICES, INC.
July 11, 1985 - August 1, 1990
STEPHENS
December 21, 1984 - June 21, 1985
UNION INVESTMENTS, 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
Exams
Series 18
Date: 8/18/1984
Securities Industry Rules and Regulations ExaminationCurrent Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
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.
