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Detailed Report
CHARLES MATTHEW WERNIG III
CHIP WERNIG, CHARLES MATTHEW WERNIG III
CRD#: 4305235
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2002200420062008201020122014201620182020IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2018 - 2019 (<1 year)IAKESTRA ADVISORY SERVICES, LLC (CRD# 283330)2016 - 2018 (2 years)IANFP ADVISOR SERVICES, LLC (CRD# 42046)2004 - 2016 (12 years)IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2002 - 2003 (1 year)
Disclosure(s)
View By:
8/27/2019
Regulatory
Final
5/2/2019
Regulatory
Final
9/29/2003
Employment Separation After Allegations
Previous Registration(s)
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 06/21/2018 - 03/13/2019 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) LAKEWOOD, CO
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 04/21/2016 - 06/25/2018 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) ENGLEWOOD, CO
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 01/14/2004 - 09/22/2016 NFP ADVISOR SERVICES, LLC (CRD#:42046) ENGLEWOOD, CO
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 05/16/2002 - 10/08/2003 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) DENVER, CO
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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.
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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
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.