Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Edward Dietz is a financial professional with over 25 years of experience in the securities industry. Charles is currently registered with Clear Street LLC, a broker-dealer firm. Prior to joining Clear Street, Charles was a registered representative at WELLS FARGO SECURITIES, LLC, GLEACHER & COMPANY SECURITIES, INC., UBS SECURITIES LLC, and SBC WARBURG DILLON READ INC. Charles holds several securities licenses, including Series 7, Series 3, Series 55, Series 63, Series 24, Series 57TO, and Series 99TO.
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
04/19/2024 - Present
Clear Street LLC (NEW YORK NY)
NY
08/15/2013 - 03/12/2024
WELLS FARGO SECURITIES, LLC (New York NY)
NY
09/25/2012 - 04/15/2013
GLEACHER & COMPANY SECURITIES, INC. (NEW YORK NY)
CT
06/29/1998 - 11/19/2008
UBS SECURITIES LLC (STAMFORD CT)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
06/03/1996 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
02/21/1994 - 06/03/1996
S.G. WARBURG & CO. INC. (NEW YORK NY)
NY
10/11/1992 - 02/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/02/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/09/2015
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/16/2012
Series 3 - National Commodity Futures Examination
BC
Issued 09/24/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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