Charles S. Cons
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Sheldon Cons was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 6 firms and has passed the Series 63, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 1992 - December 8, 1992
DIME SECURITIES, INC.
August 18, 1989 - May 20, 1992
INVEST FINANCIAL CORPORATION
May 25, 1989 - June 24, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
October 18, 1983 - April 5, 1988
UBS FINANCIAL SERVICES INC.
November 18, 1982 - October 6, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 27, 1982 - November 15, 1982
BLINDER, ROBINSON & CO., INC.
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationCurrent Firm
DIME SECURITIES, INC.
CRD#: 28955 / SEC#: , 8-44042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE DIME AGENCY, INC | OWNER | |
| BERGMAN, SUSAN BRISCHLER | GP | 3077252 |
| CALVO, JOEL | PRESIDENT | 857420 |
| CIANCARELLI, STEPHEN VINCENT | CHIEF FINANCIAL OFFICER | 2225753 |
| CURTH, GEORGE WILLIAM | VICE PRESIDENT & GROUP SALES MANAGER/GP | 1407456 |
| GAMBARO, ANTHONY JOSEPH | OPERATIONS MANAGER/GP | 217167 |
| GOLDSMITH, STACY MARI | VP, REGIONAL SALES MANAGER, GP,MP | 1416323 |
| HEINES, BRUCE GARY | REGIONAL SALES MANAGER/GP | 1828701 |
| HENSELMAN, HANS DIETER | CROP, SROP | 2320564 |
| NEWMAN, JOHN FRANKLIN | VICE PRESIDENT/COMPLIANCE OFFICER/PG/MP/GP | 1751371 |
| PASTER, MARIA | ROP/GP/PG | 1312837 |
| RUSSELL, SHAVAUGHN ALETHIA | GP,PG | 2000748 |
| SIMONSON, MARY KATHRYN | CHIEF COMPLIANCE OFFICER | 1297398 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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