Individual Firm
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CHARLES HUGH LAUGHRIDGE III
CHUCK LAUGHRIDGE, CHARLES HUGH LAUGHRIDGEIII
CRD#: 1410187
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 GREENVILLE, NC
CETERA ADVISOR NETWORKS LLCCRD#: 13572 GREENVILLE, NC
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9/15/2008
Customer Dispute
Denied
12/27/2007
Customer Dispute
Denied
State Registrations
B
North Carolina 9/3/2013
B
Virginia 8/23/2016
IA
North Carolina 6/29/2023
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/29/2023
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2013 - 06/29/2023 | EL SEGUNDO, CA | |
IA | 12/31/2001 - 09/03/2013 | HARKERS ISLAND, NC | |
B | 03/27/1996 - 09/03/2013 | HARKERS ISLAND, NC | |
B | 11/19/1992 - 03/19/1996 | SPRINGFIELD, MA | |
B | 11/19/1992 - 03/19/1996 | NEW YORK, NY | |
B | 02/08/1989 - 10/15/1992 | EL SEGUNDO, CA | |
B | 07/23/1986 - 03/01/1989 | NEW YORK, NY | |
B | 10/30/1985 - 04/11/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.