CHARLES DEBARDELEBEN PERRY is currently employed as a Broker and/or Investment Adviser at ALPS DISTRIBUTORS, INC. located at 2545 HIGHLAND AVENUE, SUITE 200, BIRMINGHAM, AL, 35205.
CHARLES DEBARDELEBEN PERRY has worked at ALPS DISTRIBUTORS, INC. since December 15, 2011
CHARLES DEBARDELEBEN PERRY has 1 Disclosure Event(s).
Date: January 14, 1993 Category: Regulatory Initiated By: ALABAMA SECURITIES COMMISSION (ASC) Allegations: ALABAMA SECURITIES COMMISSION ALLEGED CERTAIN VIOLATIONS OF CERTAIN PROVISIONS RELATING TO THE REGISTRATION OF INVESTMENT ADVISORS. Resolution: Order SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $34,257.72 Sanction Details: AS PART OF THE CONSENT ORDER MR PERRY WAS REQUIRED TO TAKE AND PASS THE SERIES 65 EXAMINATION. MR PERRY PASSED THE SERIES 65 ON 5/19/1993. HIGHLAND ASSOCIATES AGREED TO PAY AN ADMINISTRATIVE ASSESSMENT IN THE TOTAL AMOUNT OF $34,257.72, WHICH IT PAID ON OR ABOUT 2/24/1993. Broker Comment: THE FACTS GIVING RISE TO THIS CONSENT ORDERINVOLVED A BELIEF AND CLAIM BY HIGHLAND ASSOCIATES, INC. BASEDUPON ITS UNDERSTANDING OF CERTAIN PROVISIONS OF THE ACT, THATIT WAS EXEMPT FROM THE INVESTMENT ADVISOR REGISTRATIONREQUIREMENTS UNDER THE ACT. AFTER, HAVING BEEN REGISTERED ASAN INVESTMENT ADVISOR WITH THE ASC FOR 1991, HIGHLANDASSOCIATES, INC. DID NOT RENEW ITS INVESTMENT ADVISORREGISTRATION FOR 1992 BASED UPON ITS UNDERSTANDING OF CERTAINEXEMPTIONS IN THE ACT. DURING THIS PERIOD, HIGHLANDASSOCIATES, INC. WAS REGISTERED AS AN INVESTMENT ADVISOR WITHTHE SECURITIES AND EXCHANGE COMMISSION. FOLLOWING AN ON-SITEREVIEW OF HIGHLAND ASSOCIATES, INC., THE ASC CONCLUDED THATHIGHLAND ASSOCIATES, INC. WAS NOT IN FACT EXEMPT FROM THEREGISTRATION REQUIRMENT OF THE ACT AND THAT HIGHLANDASSOCIATES, INC. SHOULD HAVE BEEN REGISTERED.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for CHARLES DEBARDELEBEN PERRY, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More