Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam James Charlton has been in the financial services industry since August 24, 1998. William is currently registered with C&C Trading LLC, and has been with this firm since September 26, 2003. William has also held previous roles with Charlton Specialist Partners LLC, Blue Mill Associates LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Refco Securities, Inc.
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
CT
09/26/2003 - Present
C&C Trading LLC (Greenwich CT)
NY
10/01/2003 - 01/16/2004
CHARLTON SPECIALIST PARTNERS LLC (NEW YORK NY)
NY
09/17/2003 - 12/16/2003
BLUE MILL ASSOCIATES LLC (NEW YORK NY)
NA
12/24/1981 - 01/15/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
01/12/1984 - 06/06/1984
REFCO SECURITIES, INC.
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 09/09/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1981
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
N
NYSE Arca, Inc.
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