Charles A. Brady
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 Augustus Brady JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 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
December 7, 2006 - December 31, 2016
WORLD INVESTMENTS, LLC
January 3, 1991 - December 31, 2016
WORLD INVESTMENTS, LLC
November 19, 1989 - January 8, 1991
OSAIC WEALTH, INC.
June 18, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 9, 1984 - June 19, 1985
UNDERHILL ASSOCIATES, INCORPORATED
March 5, 1979 - June 25, 1985
CARDELL & ASSOCIATES, INCORPORATED
December 20, 1977 - March 20, 1979
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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: 12/12/1977
Registered Representative ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
