Charles A. Nalbone
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 Anthony Nalbone was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 8 firms and has passed the Series 14A, Series 10, Series 9 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2013 - September 30, 2014
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
August 1, 2006 - June 5, 2012
APEX CLEARING CORPORATION
October 28, 2005 - June 30, 2006
HARRISDIRECT LLC
February 26, 2002 - June 30, 2006
E*TRADE SECURITIES LLC
August 9, 2001 - June 30, 2006
E*TRADE CLEARING LLC
August 10, 1995 - October 25, 1996
J.P. MORGAN CLEARING CORP.
April 13, 1993 - June 14, 2000
J.P. MORGAN SECURITIES LLC
June 23, 1992 - February 26, 1993
GLEACHER & COMPANY SECURITIES, 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 14A
Date: 7/25/1994
Compliance Official Specialist ExamCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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