CHARLES DEBARDELEBEN PERRY

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

Disclosure History

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.

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