Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles McCabe is a financial professional with over 25 years of experience in the industry. He has a broad range of experience, having worked with firms such as Cowen and Company, Piper Jaffray & Co., and Robertson Stephens, Inc. Charles is currently registered with TD Securities (USA) LLC and is licensed to offer investment advice in both California and New York. He holds several industry licenses and certifications, including Series 7, 24, 63 and SIE.
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.
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2
NY
03/08/2024 - Present
TD Securities (usa) LLC (New York NY)
CA
09/12/2011 - 04/11/2024
COWEN AND COMPANY (San Francisco CA)
CA
03/11/2013 - 05/24/2013
COWEN SECURITIES LLC (SAN FRANCISCO CA)
CA
09/05/2002 - 08/16/2011
PIPER JAFFRAY & CO. (EAST PALO ALTO CA)
CA
02/13/1997 - 08/27/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
BC
Issued 02/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2006
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 12/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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