Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles L. Rose is a financial professional with over 20 years of experience in the securities industry. Charles is currently registered with TD Securities (usa) LLC. Prior to joining TD Securities (usa) LLC, Charles was registered with Barclays Capital Inc. and Pershing LLC. Charles holds the Series 7 and SIE licenses.
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
06/09/2011 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
03/07/2003 - 06/10/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NJ
01/27/2003 - 03/13/2003
PERSHING LLC (JERSEY CITY NJ)
NY
07/03/2002 - 01/31/2003
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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