Individual Firm
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WILLIAM CHARLES ARTMANN
CHARLIE WILLIAM ARTMANN, CHARLIE ARTMANN
CRD#: 1420468
IA
B
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 1880 Lakeland Drive
Ste B
Jackson, MS 39216
Ste B
Jackson, MS 39216
View By:
8/15/2005
Customer Dispute
Award / Judgment
State Registrations
B
Alabama 10/28/2020
B
Mississippi 10/22/2020
B
Arizona 10/22/2020
IA
Mississippi 10/26/2020
B
Arkansas 10/22/2020
B
North Carolina 10/28/2020
B
California 10/22/2020
B
Oklahoma 10/22/2020
B
Colorado 1/6/2023
B
Pennsylvania 1/10/2024
B
Florida 10/22/2020
B
South Carolina 10/22/2020
B
Georgia 10/22/2020
B
Tennessee 10/22/2020
B
Indiana 11/17/2021
B
Texas 10/22/2020
B
Louisiana 10/22/2020
IA
Texas 10/23/2020
IA
Louisiana 10/27/2020
B
Virginia 10/22/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/23/2020
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Registered with this firm since 10/22/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/17/2020 - 10/23/2020 | JACKSON, MS | |
B | 07/17/2020 - 10/23/2020 | JACKSON, MS | |
IA | 04/12/1999 - 07/17/2020 | JACKSON, MS | |
B | 11/30/1992 - 07/17/2020 | JACKSON, MS | |
B | 11/05/1985 - 12/01/1992 | IRVINE, CA |
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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.