William J. Charlton
Professional summary
William James Charlton III, who also goes by William James Charlton, is a registered financial professional currently at C&C TRADING L.L.C. located in Greenwich, Connecticut.
William is registered as a RR (Registered Representative) and started their career in finance in 1981. William has worked at 5 firms and has passed the Series 57TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William James Charlton III's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2003 - Present
C&C TRADING L.L.C.
Office #1: 35 Mason Street 4th Floor, Greenwich, CT 06830Office #2: 35 Mason Street 4th Fl, Greenwich, CT 06830October 1, 2003 - January 16, 2004
CHARLTON SPECIALIST PARTNERS LLC
September 17, 2003 - December 16, 2003
BLUE MILL ASSOCIATES LLC
January 12, 1984 - June 6, 1984
REFCO SECURITIES, LLC
December 24, 1981 - January 15, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Current Firm
C&C TRADING L.L.C.
CRD#: 39302 / SEC#: , 8-48631
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| C&C GLOBAL MARKETS, LLC | MEMBER | |
| ADORNEY, DAVID JAMES | MEMBER | 3096122 |
| ANCONA, GREGORY MICHAEL | MEMBER | |
| ARGINTEANU, MATAN NMN | MEMBER | 7269441 |
| CHARLTON, WILLIAM JAMES III | CCO | 1021975 |
| CHENG, KEVIN NMN | MEMBER | 6655073 |
| CHERNYAVSKIY, IVAN NMN | MEMBER | |
| COCCHI, ROBERT LOUIS | EXECUTIVE OFFICER | 2355430 |
| COHEN, ROBERT PAUL | EXECUTIVE OFFICER | 2683613 |
| GUO, ZEJIA | MEMBER | 7301278 |
| KALISHMAN, MICHELE A | EXECUTIVE OFFICER | 3134392 |
| KRUGER, JOHN ROBERT | FINOP PFO POO | 4740278 |
| LOUIE, MATTHEW NMN | MEMBER | 6176342 |
| MONTANO, ANDREW JOHN | MEMBER | 4709265 |
| ROTHBAUM, JOSHUA | MEMBER | 7781487 |
| SUH, DANIEL JAIPIL | MEMBER | 6458512 |
| TUTTLE, JEREMY PETER | MEMBER | 5847396 |
| WILSON, DAVID CALEB | MEMBER | 4725210 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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