Charles D. Youree
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 David Youree JR, who also goes by Chuck Youree, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1978. Charles had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 5, 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
May 14, 2001 - December 31, 2012
NATIONS FINANCIAL GROUP, INC.
April 8, 1998 - December 31, 2012
NATIONS FINANCIAL GROUP, INC.
March 2, 1995 - March 16, 1998
AEGON USA SECURITIES INC.
June 6, 1994 - January 12, 1995
CITIGROUP GLOBAL MARKETS INC.
February 23, 1990 - June 15, 1994
MORGAN STANLEY DW INC.
November 26, 1985 - February 22, 1990
LEHMAN BROTHERS INC.
August 1, 1983 - November 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
May 2, 1980 - August 8, 1983
LEHMAN BROTHERS INC.
January 31, 1980 - May 25, 1980
UBS FINANCIAL SERVICES INC.
March 5, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 1, 1978 - January 11, 1979
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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 5
Date: 1/11/1985
Interest Rate Options ExaminationCurrent Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
