Charles Thomas is a registered investment advisor, based in Cabot, AR, with 8 years of industry experience.
Location
106 South Second St, Cabot, AR, 72023
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Charles is involved in breeding and selling Golden Doodles and English Cream Golden Retrievers. He also owns 25% of The Dadbodz, a live music venture, dedicating minimal time to it.
Employment History
Current Registrations
Cetera Investment Advisers LLC
December 2020 - Present · 5 yrs 5 mos
Cetera Investment Services LLCBroker
December 2020 - Present · 5 yrs 5 mos
Previous Registrations
Edward Jones
October 2017 - September 2020 · 2 yrs 11 mos
Edward JonesBroker
September 2017 - September 2020 · 3 yrs
State Registrations3 states
AROKPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.