Inactive

Charles Melvin Carty

Carty Financial, Inc.

Thousand Oaks, CA

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Current Employers

Carty Financial, Inc.

Thousand Oaks, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2007-07-26

CA RA
APPROVED

Since 2007-07-26

Branch Locations

Thousand Oaks, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Carty Financial, Inc.	Camarillo	CA	07/2007	Present

07/2007 → Present

Carty Financial, Inc.

Camarillo, CA

Previous Registrations

2004-06-18 → 2007-07-12

Brookstreet Securities Corporation

Camarillo, CA

Camarillo, CA
2002-11-26 → 2004-06-15

Wells Fargo Clearing Services, Llc

Santa Barbara, CA
1998-12-22 → 2002-12-17

Ubs Financial Services Inc.

Santa Barbara, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-23
S63	Uniform Securities Agent State Law Examination	1993-08-06

S65 Uniform Investment Adviser Law Examination

1993-12-23
S63 Uniform Securities Agent State Law Examination

1993-08-06

Other Names

Chuck Carty

View on SEC IAPD

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