Charles Mascia
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 Mascia was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1988. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - March 17, 2017
DAVID LERNER ASSOCIATES, INC.
August 29, 2013 - October 1, 2015
PUMA CAPITAL, LLC
March 28, 2013 - July 24, 2013
SSC NY CORP.
May 27, 2011 - July 25, 2012
RODMAN & RENSHAW, LLC
January 9, 2003 - May 27, 2011
HUDSON SECURITIES,INC.
November 23, 1988 - March 5, 2003
UBS CAPITAL MARKETS L.P.
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 55
Date: 3/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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