Charles S. Lipson
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 Stuart Lipson was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. 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
July 7, 2004 - May 8, 2017
SCHOTTENFELD GROUP LLC
January 11, 2001 - July 6, 2004
PUGLISI & CO.
May 4, 1992 - January 31, 2001
BEECH HILL SECURITIES, INC.
March 27, 1990 - April 24, 1992
NATWEST SECURITIES CORPORATION
November 18, 1987 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
November 23, 1983 - November 3, 1987
PRUDENTIAL EQUITY GROUP, LLC
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: 1/31/2000
Limited Representative-Equity Trader ExamCurrent Firm
SCHOTTENFELD GROUP LLC
CRD#: 128103 / SEC#: , 8-66088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER, CEO | 1280443 |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| RISI, SALVATORE ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1072513 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
Red Flags
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