Charles H. Fiori
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 H Fiori, who also goes by Charles Fiori, Charles H Fiori, Charles Henry Fiori, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 5, Series 15, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - August 9, 2018
NYLIFE SECURITIES LLC
July 18, 2015 - January 4, 2016
LEGEND SECURITIES, INC.
February 8, 2013 - August 8, 2013
WHITAKER SECURITIES LLC
June 20, 2011 - February 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 6, 2011 - February 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 26, 2000 - June 3, 2002
BROKERTEC AMERICAS LLC
November 6, 1998 - December 23, 1998
CHICAGO BOARD BROKERAGE, L.L.C.
November 15, 1995 - January 29, 1998
J.P. MORGAN SECURITIES LLC
May 27, 1992 - November 13, 1995
LEHMAN BROTHERS INC.
July 23, 1991 - May 15, 1992
RODMAN & RENSHAW INC.
August 12, 1988 - April 11, 1991
GOLDMAN SACHS & CO. LLC
December 11, 1987 - September 13, 1988
GOLDMAN SACHS MONEY MARKETS INC.
October 26, 1984 - April 11, 1991
GOLDMAN SACHS & CO. 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 5
Date: 12/5/1984
Interest Rate Options ExaminationSeries 15
Date: 11/27/1984
Foreign Currency Options ExaminationSeries 8
Date: 3/13/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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