Charles Esposito
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 Esposito was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7, Series 4 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
September 26, 2017 - April 25, 2018
AVANTAX INVESTMENT SERVICES, INC.
May 25, 2011 - January 7, 2016
BUCKMAN, BUCKMAN & REID, INC.
September 15, 2010 - May 25, 2011
SETON SECURITIES GROUP, INC.
September 2, 2008 - June 18, 2010
HUDSON SECURITIES,INC.
December 6, 2004 - August 12, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 17, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
September 9, 2002 - December 2, 2003
GOLDMAN SACHS & CO. LLC
October 31, 1990 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 5, 1989 - October 17, 1990
ABEL/NOSER CORP.
June 2, 1987 - March 20, 1989
LADENBURG THALMANN & CO. INC.
June 16, 1986 - June 16, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
September 7, 1985 - June 3, 1986
EMPIRE NATIONAL SECURITIES, INCORPORATED
June 18, 1985 - September 12, 1985
ADLER COLEMAN & CO., 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 55
Date: 6/11/1998
Limited Representative-Equity Trader ExamCurrent Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
