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PRC Findings Report for: Charles Auerbach

  • Registry Quality Rating: Five Stars(Highest)
  • Most Recent Background Check: 11/22/2013

Paladin Registry completed a background check for Charles Auerbach . This report confirms the accuracy of specific information that is displayed in this professional's Registry profile or identifies issues that should be reviewed in more detail by investors.

Financial Knowledge Checks

  • Financial Services Experience (FINRA)
  • Education (Schools, Years, Degrees) (Colleges & Universities)
  • Certifications, Designations, Accreditations (Issuing Organizations)
  • Association Memberships (Industry Organizations)

General Background Checks (Professionals)

  • Internet Name Search
  • Local News Name Search
  • Website Review
  • Better Business Bureau

Financial Ethics Checks

  • Identity Check (SSN)
  • Securities Licenses (FINRA, State Securities Commissioner)
  • Insurance Licenses (State Insurance Commissioner)
  • Advisor Registration (SEC, State Securities Commissioner)
  • Compliance Record Disclosures (FINRA)
  • Criminal Record Disclosures (Local Law Enforcement)
  • Fiduciary Acknowledgement (Registry Profile)
  • Employment History (FINRA)
  • Foreclosure, Bankruptcy, Lien (State Records)

General Background Checks (Firms)

  • Internet Name Search
  • Local News Name Search
  • Website Review
  • Better Business Bureau

Code Descriptions

  • We confirmed the accuracy of the information on the professional's Registry profile
  • We were unable to confirm the accuracy of the information on the professional's Registry profile
  • Investors should ask additional questions about this category of information
  • Not applicable for this professional