L. Charley Email & Phone Number
Managing Partner (Independent Advisor)
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L. Charley Location
- Chevy Chase Village, MD, US
L. Charley Work
- 2026 -now Managing Partner (Independent Advisor) @ Regent Advisory Partners
- 2018 -2026 Managing Director @
- 2015 -2018 Acting Branch Chief, Examiner @
- 2013 -2015 Managing Director, Global Chief Compliance Officer @ MIP Global, Inc.
- 2008 -2015 Founder and Lead Investment Adviser Program @
- 2006 -2008 Chief Compliance Officer @
- 2005 -2006 Senior Compliance Officer @
- 2002 -2005 Senior Compliance Officer @ Capital Financial Group/H.Beck
L. Charley Education
- Hollins University
B.A.
L. Charley Skills
- Financial Services
- Mutual Funds
- FINRA
- Securities
- Hedge Funds
- AML
- Investments
- Series 7
- Fixed Income
- Equities
- Asset Management
- ETFs
- Series 24
- USA PATRIOT Act
- Compliance
- Alternative Investments
- Investment Advisory
- SEC
- Bank Secrecy Act
- Risk Management
- Project Management
- Due Diligence
- Derivatives
- Investment Management
- Trading
- Separately Managed Accounts
- Insurance
- Investment Strategies
- Uniform Combined State Law
- Regulatory Reporting
- Operational Efficiency
- Securities Regulation
- Securities Arbitration
- Growth Initiatives
- Licensing
- Asset Managment
- Managed Futures
- Fixed Annuities
- Closed-end Funds
- Structured Products
- Wealth Management
- Commodity
- Financial Advisory
- OFAC
- Broker-Dealer
- Code of Ethics
- KYC
- Investment Advisers Act
- Investment Company Act
- Swaps
- Rias
- Closed End Funds
- Broker Dealer
L. Charley Summary
- L. Charley, based in Chevy Chase Village, MD, US, is currently a Managing Partner (Independent Advisor) at Regent Advisory Partners. L. Charley brings experience from previous roles at ACA Group, U.S. Securities and Exchange Commission, MIP Global, Inc. and Financial Industry Technical Services. L. Charley holds a B.A. @ Hollins University. With a robust skill set that includes Financial Services, Mutual Funds, FINRA, Securities, Hedge Funds and more. L. Charley has 2 emails and 1 mobile phone numbers on RocketReach.
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