Charles M. Raspa

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CRD#: 1317859

Professional summary

Charles Michael Raspa was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Charles had worked at 12 firms, which includes NATIONAL SECURITIES CORPORATION, JOSEPH STEVENS & CO. INC., VISTA SECURITIES INC., A.S. GOLDMEN & CO. INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., D. H. BLAIR & CO. INC., WILLIAM M. CADDEN & CO. INC., INVESTORS CENTER INC., F.N. WOLF & CO. INC., BEURET & COMPANY LTD., JEROLD SECURITIES & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 2, 2008 - June 26, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

OLD BRIDGE, NJ

Past

June 19, 1996 - May 2, 2008

JOSEPH STEVENS & CO., INC.

CRD#: 35459

OLD BRIDGE, NJ

Past

May 20, 1996 - June 25, 1996

VISTA SECURITIES INC.

CRD#: 36706

GARDEN CITY, NY

Past

May 10, 1994 - March 20, 1996

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

November 11, 1991 - May 2, 1994

A.S. GOLDMEN & CO., INC.

CRD#: 23180

RED BANK, NJ

Past

February 22, 1991 - December 9, 1991

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 22, 1991 - December 9, 1991

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 14, 1989 - February 24, 1990

D. H. BLAIR & CO., INC.

CRD#: 6833

NEW YORK, NY

Past

April 7, 1989 - July 26, 1989

WILLIAM M. CADDEN & CO., INC.

CRD#: 16363

Past

May 13, 1988 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

Past

March 14, 1988 - May 13, 1988

F.N. WOLF & CO., INC.

CRD#: 13051

Past

January 11, 1988 - May 3, 1988

BEURET & COMPANY, LTD.

CRD#: 16198

Past

February 9, 1987 - January 15, 1988

JEROLD SECURITIES & CO., INC.

CRD#: 6594

Past

November 21, 1984 - August 29, 1986

D. H. BLAIR & CO., INC.

CRD#: 6833

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/16/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/31/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/31/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/1994

General Securities Principal Examination

Current Firm

NATIONAL SECURITIES CORPORATION

CRD#: 7569 / SEC#: , 8-164

Terminated by SEC on 10/20/2022

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Contact information

Main Address

Mailing Address

Phone number

Established

Washington since 01/06/1947

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NATIONAL HOLDINGS CORPORATION	PARENT, OWNER
MARKUNAS, MICHAEL	CHIEF COMPLIANCE OFFICER	1832307

Disclosures

Regulatory Event	66
Arbitration	16

Red Flags

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Advisor Monitoring

Firm Stability Insights

Charles M. Raspa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOSEPH STEVENS & CO., INC.

VISTA SECURITIES INC.

JOSEPH STEVENS & CO., INC.

A.S. GOLDMEN & CO., INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

D. H. BLAIR & CO., INC.

WILLIAM M. CADDEN & CO., INC.

INVESTORS CENTER, INC.

F.N. WOLF & CO., INC.

BEURET & COMPANY, LTD.

JEROLD SECURITIES & CO., INC.

D. H. BLAIR & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/1985

Series 7

Date: 11/17/1984

Series 10

Date: 7/31/2002

Series 9

Date: 7/31/2002

Series 24

Date: 4/6/1994

Current Firm

NATIONAL SECURITIES CORPORATION

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONAL SECURITIES CORPORATION

TRUST BUT VERIFY

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