Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Worthman is an experienced financial professional who has been in the industry since August 2006. Currently, Charles is registered with H.c.wainwright & Co., LLC in New York and Florida. Previously, Charles was also affiliated with Rodman & Renshaw, LLC, Dawson James Securities, Inc., and Bryant Park Capital, Inc.. Charles holds FINRA Series 7, 24, 63, 79TO, and SIE licenses and is a general securities representative.
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
04/15/2013 - Present
H.c.wainwright & CO., LLC (NEW YORK NY)
NY
01/19/2018 - 02/17/2024
RODMAN & RENSHAW, LLC (New York NY)
FL
09/24/2012 - 04/17/2013
DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)
NY
10/11/2007 - 09/14/2012
RODMAN & RENSHAW, LLC (NEW YORK NY)
PA
08/16/2006 - 10/12/2007
BRYANT PARK CAPITAL, INC. (CONSHOHOCKEN PA)
BC
Issued 12/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Charles Worthman is the right advisor for you? Invested Better is here to help.
