Charles W. Baldiswieler
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 William Baldiswieler, who also goes by Chuck Baldiswieler, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 15, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - March 20, 2015
QUASAR DISTRIBUTORS, LLC
August 28, 1997 - January 9, 2014
TCW INVESTMENT MANAGEMENT COMPANY LLC
July 3, 1997 - January 9, 2014
TCW FUNDS DISTRIBUTORS LLC
August 1, 1988 - July 13, 1990
RAUSCHER PIERCE REFSNES, INC.
May 30, 1984 - August 11, 1988
THOMSON MCKINNON 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 15
Date: 5/21/1986
Foreign Currency Options ExaminationCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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