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CY

Charles G. Yorke

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CRD#: 1108876
CY

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 G Yorke, who also goes by Charles Gregory Yorke, Charles Yorke, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Gregory Yorke | Charles Yorke

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

February 22, 2023 - June 26, 2025

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
CHICAGO, IL
Past

June 8, 2022 - January 3, 2023

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

August 16, 2018 - June 14, 2022

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHICAGO, IL
Past

February 13, 2017 - July 11, 2018

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
CHICAGO, IL
Past

October 20, 2016 - February 3, 2017

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

August 25, 2015 - August 18, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
CHICAGO, IL
Past

September 2, 2014 - July 29, 2015

JEFFERIES LLC

BD
CRD#: 2347
CHICAGO, IL
Past

February 15, 2012 - July 31, 2014

CANTOR FITZGERALD & CO.

BD
CRD#: 134
CHICAGO, IL
Past

July 27, 2011 - February 9, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
CHICAGO, IL
Past

October 5, 2010 - July 21, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
CHICAGO, IL
Past

August 20, 2010 - October 5, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
CHICAGO, IL
Past

June 13, 2003 - December 19, 2006

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
CHICAGO, IL
Past

March 16, 1992 - June 6, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 19, 1983 - April 7, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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: 12/7/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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

LOOP CAPITAL MARKETS LLC

CRD#: 43098

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