Charles J. Lemoine
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 Joseph Lemoine JR was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 6 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1996 - August 27, 1996
WALL STREET ACCESS
October 14, 1993 - December 20, 1993
LANCASTER LEEDS & CO., INC.
August 7, 1991 - September 30, 1991
MANCHESTER RHONE SECURITIES CORP.
May 12, 1986 - July 27, 1990
CMT FINANCIAL GROUP
January 24, 1986 - September 9, 1987
CITICORP FINANCIAL SERVICES,INC.
June 20, 1984 - July 18, 1984
KUESELL & CO. - INVESTMENT BANKERS
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: 4/3/1986
Foreign Currency Options ExaminationSeries 5
Date: 2/11/1986
Interest Rate Options ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
