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Charles Edmond Sax

Broadridge Business Process Outsourcing, LLC

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About Charles Edmond Sax

Charles Edmond Sax is a Financial and Operations Principal with Broadridge Business Process Outsourcing, LLC. Charles Edmond Sax has been in the industry since October 27, 1995, and previously worked at Ridge Clearing & Outsourcing Solutions, Inc., Banc of America Investment Services, Inc., Quick & Reilly, Inc., SureTrade Inc., Chase Securities Inc., Deutsche Morgan Grenfell Inc., and Manufacturers Hanover Securities Corporation. Charles Edmond Sax holds Series 27, SIE, and Series 99TO securities licenses and is registered with FINRA.

Firm Information

Charles Sax is currently registered with Broadridge Business Process Outsourcing, LLC. Broadridge Business Process Outsourcing, LLC is a Limited Liability Company formed in 2001-04-06. The firm is registered in California, Colorado, Illinois, New Jersey, New York, and Texas. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

109

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Charles Sax’s Registration & Firm History

NY

01/11/2013 - Present

Broadridge Business Process Outsourcing, LLC (Edgewood NY)

NY

10/30/2000 - 06/01/2012

RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. (LAKE SUCCESS NY)

MA

10/20/2004 - 11/22/2004

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

03/16/2001 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

RI

03/16/2001 - 10/01/2001

SURETRADE INC. (LINCOLN RI)

NY

07/28/1997 - 11/02/2000

CHASE SECURITIES INC. (NEW YORK NY)

NY

05/09/1995 - 01/01/1997

DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)

NA

04/07/1988 - 12/20/1988

MANUFACTURERS HANOVER SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 04/24/1995

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Edmond Sax.
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