Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Jonathan Herrick is an active representative with Archipelago Securities LLC. Charles has been in the securities industry for over 16 years, holding various roles in the industry. Charles has passed a number of securities exams, including the Series 7, Series 24, Series 55, Series 57TO, and Series 63. He has held previous roles at a number of firms, including Cantor Fitzgerald & Co., HRT Financial LLC, and Getco Execution Services LLC.
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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NY
10/03/2022 - Present
Archipelago Securities LLC (New York NY)
NY
12/23/2019 - 11/12/2020
ARCHIPELAGO SECURITIES L.L.C. (New York NY)
NY
04/24/2018 - 07/23/2018
HRT FINANCIAL LLC (NEW YORK NY)
NY
11/10/2015 - 07/23/2018
SUN TRADING LLC (NEW YORK NY)
NJ
07/22/2013 - 08/17/2015
KCG AMERICAS LLC (JERSEY CITY NJ)
NY
02/04/2008 - 06/11/2014
GETCO EXECUTION SERVICES LLC (NEW YORK NY)
NY
12/12/2012 - 05/06/2013
GETCO SECURITIES, LLC (NEW YORK NY)
NY
03/08/2010 - 04/15/2011
GETCO SECURITIES, LLC (NEW YORK NY)
NY
09/27/2006 - 06/17/2008
OCTEG, LLC (NEW YORK NY)
NY
09/22/2005 - 08/21/2006
CANTOR FITZGERALD & CO. (NEW YORK NY)
NJ
05/12/2004 - 11/22/2004
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
NY
05/02/2002 - 03/10/2004
BLOOMBERG TRADEBOOK LLC (NEW YORK NY)
BC
Issued 05/25/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/29/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 07/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/13/2001
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 PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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