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Detailed Report
CHARLES WALLACE SEIGLER JR
CHARLES W SEIGLER JR
CRD#: 4841040
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 52A Ervin Street
Belmont, NC 28012
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - 2016 (7 years)2 FIRMS2016 - Present (9 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2005 - 2008 (3 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2004 - 2005 (<1 year)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2006 - 2008 (2 years)
License(s)

State Registrations

B
California 1/11/2016
IA
North Carolina 1/11/2016
B
Florida 1/11/2016
B
Ohio 1/11/2016
B
Georgia 1/11/2016
B
South Carolina 1/11/2016
B
Iowa 10/8/2024
B
Texas 1/11/2016
B
Kansas 1/14/2020
B
Virginia 11/11/2022
B
Massachusetts 7/21/2017
B
West Virginia 1/11/2016
B
New York 1/11/2016
B
Wisconsin 10/17/2022
B
North Carolina 1/11/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
52A Ervin Street, Belmont, NC 28012
Registered with this firm since 1/11/2016
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
52A Ervin Street, Belmont, NC 28012
Registered with this firm since 1/11/2016
Previous Registration(s)
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IA
 11/20/2008 - 01/12/2016 CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC (CRD#:131631) CHARLOTTE, NC
B
 11/11/2008 - 01/12/2016 CAPITAL GUARDIAN, LLC (CRD#:137919)
FINRA expelled the firm on 01/18/2018
CHARLOTTE, NC
IA
 03/20/2006 - 11/07/2008 MML INVESTORS SERVICES, INC. (CRD#:10409) CHARLOTTE, NC
B
 10/18/2005 - 11/07/2008 MML INVESTORS SERVICES, INC. (CRD#:10409) CHARLOTTE, NC
B
 11/10/2004 - 09/16/2005 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.