Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Carroll Steele is a financial professional with over 30 years of experience in the industry. Charles has held positions at several prominent firms including Bear, Stearns & Co. Inc., HSBC Securities (USA) Inc. and Javelin Securities, LLC. Charles currently is a registered representative with Pickwick Capital Partners, LLC. Charles has a broad range of experience and expertise, including investment banking, securities trading and financial planning. He is a licensed Series 3, 7, 24, 63, 65, 79TO and SIE. Charles is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
05/15/2024 - Present
Pickwick Capital Partners, LLC (WHITE PLAINS NY)
MA
04/16/2018 - 01/31/2024
JAVELIN SECURITIES, LLC (QUINCY MA)
NY
06/30/2014 - 06/17/2016
JAVELIN SECURITIES, LLC (NEW YORK NY)
NY
12/10/2008 - 05/01/2013
ARBOR RESEARCH & TRADING, LLC (NEW YORK CITY NY)
NY
03/04/2003 - 06/19/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
12/04/2000 - 10/28/2002
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NJ
04/22/1993 - 10/24/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
10/13/1989 - 04/28/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
04/23/1987 - 09/26/1989
CHEMICAL SECURITIES, INC. (NEW YORK NY)
IA
Issued 09/01/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2018
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2007
Series 3 - National Commodity Futures Examination
BC
Issued 12/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Charles Steele is the right advisor for you? Invested Better is here to help.
