Don G. Charest
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.
Don Gary Charest, who also goes by Don Gary Charest Sr, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1981. Don had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2010 - December 31, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 12, 2003 - December 31, 2004
PRINCIPAL SECURITIES, INC.
March 26, 2001 - March 31, 2010
PRINCIPAL SECURITIES, INC.
May 3, 1999 - January 26, 2001
PARK AVENUE SECURITIES LLC
January 4, 1999 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
November 29, 1993 - December 31, 1998
WS GRIFFITH SECURITIES, INC.
June 1, 1993 - November 29, 1993
VP DISTRIBUTORS LLC
June 3, 1982 - May 27, 1993
MONY SECURITIES CORPORATION
August 25, 1981 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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: 9/19/1978
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
