Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Louis Ross is a securities professional with over 25 years of experience in the financial industry. Currently, Charles is registered with Clear Street LLC as a General Securities Representative. Previously, Charles has worked with BNP Paribas Securities Corp., BNP Paribas Prime Brokerage, Inc., Banc of America Securities LLC, and Banca IMI Securities Corp. Charles has a strong background in trading and operations and has held various roles throughout his career. Charles is a Series 7, 24, 55, 57TO, 99TO, and SIE exam holder. Charles is registered with the state of New York and is a member of FINRA.
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
10/16/2019 - Present
Clear Street LLC (NEW YORK NY)
NY
03/23/2018 - 10/24/2019
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
08/19/2008 - 07/19/2018
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
10/03/2008 - 08/05/2015
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
06/03/2005 - 10/01/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
08/17/2004 - 03/29/2005
BANCA IMI SECURITIES CORP. (NEW YORK NY)
NY
02/24/2004 - 07/02/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
04/12/2000 - 12/31/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NJ
03/17/1997 - 04/07/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 05/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/2012
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 12/21/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/14/1997
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
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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