Charles D. Elliott
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 Dewey Elliott III, who also goes by Charles Dewey Elliott, Dee Elliott III, Dee Elliott, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 7 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2003 - November 22, 2004
BOURNEHILL INVESTMENT SERVICES, INC.
February 21, 2002 - July 31, 2003
CAMBRIDGE LEGACY SECURITIES L.L.C.
January 29, 2001 - June 21, 2001
RUSHMORE SECURITIES CORPORATION
December 19, 2000 - February 26, 2001
NORTHSTAR SECURITIES, INC.
February 26, 1987 - December 9, 1998
DOMINION CAPITAL CORPORATION
October 31, 1985 - April 14, 1987
FSC SECURITIES CORPORATION
September 20, 1984 - November 5, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 2/28/1978
Registered Representative ExaminationCurrent Firm
BOURNEHILL INVESTMENT SERVICES, INC.
CRD#: 104003 / SEC#: , 8-52474
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
