Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Svenson is a registered representative with Brock Securities LLC, a firm with over 20 years of experience in the financial industry. Charles is also a Series 1, Series 40, Series 63, Series 99TO, and SIE exam holder.
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
02/14/2003 - Present
Brock Securities LLC (NEW YORK NY)
NJ
03/10/1978 - 08/16/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
02/24/1978 - 03/10/1978
NA
06/29/1976 - 02/24/1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
NA
08/08/1973 - 03/27/1975
GOLDMAN, SACHS & CO.
BC
Issued 06/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/1974
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/06/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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