WALTER CHARLES

WALTER CHARLES is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 7401 FORBES BLVD, STE B-1, LANHAM, MD, 20706.

WALTER CHARLES has worked at PFS INVESTMENTS INC. since October 18, 2011

Disclosure History

WALTER CHARLES has 2 Disclosure Event(s).

Date: January 01, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $4,252.00
Judgment/Lien Type: Tax
Broker Comment: DID NOT KNOW ABOUT THE TAX LIEN BECAUSE I MOVED FROM NORTH CAROLINA SINCE JUNE 2009, AND HAVE NOT LIVED THERE SINCE, SO I DIDN'T REALIZE I HAD TO PAY TAXES.

Date: November 13, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: PAYMENT FOR HALF THE DEBT WAS ACCEPTED AND CASE WAS CLOSED.

More Information

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 WALTER CHARLES, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.