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CHARLES F WALZ IV
CHARLES F WALZ, CHARLES FREDERICK WALZ IV, CHARLES WALZ
CRD#: 4589810
IA
B
MORGAN STANLEYCRD#: 149777 741 BOSTON POST ROAD
MADISON, CT 06443
MADISON, CT 06443
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Alaska 1/16/2020
B
Nebraska 1/16/2020
B
Arizona 11/15/2013
B
Nevada 12/12/2024
B
Arkansas 11/11/2022
B
New Hampshire 9/10/2013
B
California 7/21/2014
B
New Jersey 5/2/2013
B
Colorado 1/5/2018
B
New Mexico 5/2/2013
B
Connecticut 3/19/2013
B
New York 5/2/2013
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Connecticut 4/5/2013
B
North Carolina 5/6/2013
B
Delaware 1/6/2016
B
North Dakota 12/22/2014
B
District of Columbia 1/16/2020
B
Ohio 5/3/2013
B
Florida 5/2/2013
B
Oklahoma 10/20/2021
B
Georgia 3/21/2016
B
Oregon 1/16/2020
B
Hawaii 1/16/2020
B
Pennsylvania 2/2/2016
B
Idaho 1/26/2022
B
Rhode Island 2/19/2014
B
Illinois 5/21/2018
B
South Carolina 8/5/2014
B
Indiana 1/4/2017
B
Tennessee 9/24/2018
B
Kentucky 1/16/2020
B
Texas 5/21/2020
B
Louisiana 1/16/2020
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Texas 5/27/2020
B
Maine 5/13/2016
B
Utah 1/16/2020
B
Maryland 11/15/2013
B
Vermont 5/2/2013
B
Massachusetts 5/2/2013
B
Virginia 5/14/2013
B
Michigan 5/2/2013
B
Washington 7/12/2016
B
Minnesota 4/23/2018
B
Wisconsin 1/16/2020
B
Montana 4/23/2018
B
Wyoming 1/16/2020
SRO Registrations
B
B
B
B
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Registered with this firm since 4/5/2013
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Registered with this firm since 3/19/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/27/2009 - 08/09/2012 | NEW YORK, NY | |
B | 10/05/2007 - 12/18/2008 | NEW YORK, NY | |
B | 11/05/2002 - 09/19/2007 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.