Charles joined First National Capital Markets in 2018 and is currently Chief Compliance Officer of First National Capital Markets. Before joining FNCM, he worked as Chief Compliance Officer for a New York based Mutual Fund and Investment Advisor organization. Charles is a Director in FNBO’s Corporate Compliance department and is Chief Compliance Officer for First National Advisers and First National Fund Advisers. Charles holds FINRA Series 4, 7 ,8, 24, 27, 53 and 63 registrations.
Charles graduated from Creighton University with a B.A. degree in Political Science and is a graduate of the Creighton University School of Law. He is a member of the Nebraska State Bar Association.