Charles A. Whittom
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 Anvers Whittom, who also goes by Chuck Anvers Whittom, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 15, Series 5, Series 24 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
November 15, 2012 - November 9, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 15, 2012 - November 9, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 6, 2012 - October 1, 2012
NYLIFE SECURITIES LLC
January 30, 2012 - June 20, 2012
SECURIAN FINANCIAL SERVICES, INC.
October 25, 2011 - June 20, 2012
SECURIAN FINANCIAL SERVICES, INC.
July 31, 1993 - February 11, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - February 11, 2004
CITIGROUP GLOBAL MARKETS INC.
August 28, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
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 15
Date: 2/2/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 8
Date: 9/12/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
