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CT

Charles R. Tassinari

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CRD#: 1080017
CT

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 Robert Tassinari, who also goes by Charlie Tassinari, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 14 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Tassinari

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 29, 1993 - June 22, 1994

EMPIRE STATE SECURITIES

BD
CRD#: 17549
GREAT NECK, NY
Past

July 18, 1991 - November 25, 1991

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

April 8, 1991 - May 28, 1991

DOUGLAS STEWART INCORPORATED

BD
CRD#: 228
Past

February 22, 1990 - August 23, 1990

R.H.DAMON & CO., INC.

BD
CRD#: 23091
Past

August 29, 1988 - December 14, 1988

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
Past

March 28, 1988 - July 5, 1988

FIRST INTERREGIONAL EQUITY CORP.

BD
CRD#: 7486
Past

May 8, 1987 - February 4, 1988

STEINBERG & LYMAN

BD
CRD#: 15704
Past

June 6, 1986 - January 1, 1987

BEURET & COMPANY, LTD.

BD
CRD#: 16198
Past

October 11, 1985 - July 21, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

May 16, 1985 - October 4, 1985

ROONEY, PACE INC.

BD
CRD#: 6218
Past

September 6, 1984 - April 29, 1985

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
Past

February 8, 1984 - September 24, 1984

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

April 8, 1983 - February 14, 1984

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

December 21, 1982 - April 19, 1983

GRUNTAL & CO., L.L.C.

BD
CRD#: 372

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1982
General Securities Representative Examination

Current Firm

ES
EMPIRE STATE SECURITIES
EMPIRE STATE ASSOCIATES, LTD. | EMPIRE STATE SECURITIES

CRD#: 17549 / SEC#: , 8-35402

BD
Terminated by SEC on 12/30/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/22/1985
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SPITZER, HAROLD SAMUELDECEASED-ESTATE1626493
SPITZER, ROBERT MANFREDPRESIDENT1051214
KLEBER, NORBERTSTOCKHOLDER1626489
SELLY, LASZLOSTOCKHOLDER1626475

Disclosures

Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EMPIRE STATE SECURITIES

CRD#: 17549

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