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Charlotte Elaine Jackson

Other Names: Charlotte E. Franklin, Charlotte Elaine Franklin
Firm:
RBC Capital Markets, LLC
Type: Dual Registration
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Description

Charlotte Jackson a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 4,750 registered representatives nationwide. Charlotte has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Charlotte Elaine Jackson has not answered any questions on Financial Q&A.

Top Guides

Charlotte Elaine Jackson has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Rbc Capital Markets Corporation 4 years, 10 months Jul 2008 - Present
Banc of America Investment Services, Inc. 6 years, 1 month Jun 2002 - Jul 2008
Bank of America, Na 6 years, 11 months Aug 2001 - Jul 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/17/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
08/17/2012
08/30/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 09/21/2007
General Securities Representative Examination Series 7 06/01/2004
Uniform Securities Agent State Law Examination Series 63 11/27/2002
Investment Company Products/Variable Contracts Representative Examination Series 6 07/19/2002

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions