Charles J. Obryant
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 John Obryant III, who also goes by Charles John Obryant, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2016 - April 18, 2017
THOMPSON DAVIS & CO., INC.
February 29, 2016 - April 18, 2017
THOMPSON DAVIS & CO., INC.
October 22, 2004 - February 1, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 22, 2004 - February 1, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 30, 2003 - November 1, 2004
POWELLJOHNSON
May 30, 2003 - November 1, 2004
POWELLJOHNSON
January 2, 2003 - June 5, 2003
LEGG MASON WOOD WALKER, INCORPORATED
January 2, 2003 - June 5, 2003
LEGG MASON WOOD WALKER, INCORPORATED
December 31, 2001 - December 31, 2002
LEGG MASON WOOD WALKER, INCORPORATED
August 4, 1989 - December 31, 2002
LEGG MASON WOOD WALKER, INCORPORATED
February 24, 1988 - August 8, 1989
THOMSON MCKINNON SECURITIES INC.
August 26, 1985 - February 24, 1988
CAROLINA SECURITIES CORPORATION
May 12, 1982 - August 30, 1985
E. F. HUTTON & COMPANY INC
May 23, 1980 - August 30, 1985
E. F. HUTTON & COMPANY INC
August 27, 1979 - June 16, 1980
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
THOMPSON DAVIS & CO., INC.
CRD#: 41353 / SEC#: 801-120472, 8-49386
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 8
Date: 6/13/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THOMPSON DAVIS & CO., INC.
CRD#: 41353 / SEC#: 801-120472, 8-49386
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (33 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAVIS, WILLIAM DALE JR | CEO | 2056775 |
| THALHIMER, ADAM ROBERT | DIRECTOR OF RESEARCH | 4472072 |
| THOMPSON, EDWARD HUNTER JR | CHAIRMAN | 445674 |
| ALTIZER, JUNE ELAINE | CFO/FINOP/PFO/POO | 2114981 |
| DANIEL, MATTHEW HENRY | SR. VICE PRESIDENT | 4258203 |
| WALZ, PEGGY MYERS | CCO | 2996925 |
| JONES, BRANT CHRISTOPHER | INVESTMENT ADVISOR | 5945363 |
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 206,863,938 |
Disclosures
| Regulatory Event | 2 |
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.
