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CK

Charles F. Kirby

Some features on this profile are disabled
CRD#: 863916
CK

Professional summary

Charles Francis Kirby was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Charles had worked at 9 firms, which includes SPENCER EDWARDS INC., INTERFIRST CAPITAL CORPORATION, WESTHAMPTON SECURITIES INC., TAMARON INVESTMENTS INC., J. W. GANT & ASSOCIATES INC., FIRST EASTERN SECURITIES CORPORATION, WEDBUSH SECURITIES INC., AMERICAN FRONTEER FINANCIAL CORPORATION, OTC NET INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck Kirby

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 1994 - March 10, 2003

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

October 7, 1994 - October 11, 1994

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

July 26, 1993 - October 28, 1994

WESTHAMPTON SECURITIES, INC.

BD
CRD#: 23409
Past

August 11, 1992 - May 25, 1995

TAMARON INVESTMENTS, INC.

BD
CRD#: 14929
ENGLEWOOD, CO
Past

October 15, 1985 - June 8, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

July 11, 1985 - November 19, 1985

FIRST EASTERN SECURITIES CORPORATION

BD
CRD#: 14514
Past

December 12, 1984 - April 29, 1985

WEDBUSH SECURITIES INC.

BD
CRD#: 877
Past

September 30, 1982 - November 5, 1984

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
Past

September 2, 1981 - June 9, 1982

OTC NET INCORPORATED

BD
CRD#: 7756

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 5/28/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/10/1991
General Securities Principal Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SPENCER EDWARDS, INC.

CRD#: 22067

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