Charles R. Hood
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 Ray Hood, who also goes by Charles R Hood, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
January 23, 2002 - March 11, 2015
MARKETAXESS CORPORATION
November 14, 2001 - March 1, 2002
MARKET AXESS INC.
September 23, 1998 - September 28, 2001
LEHMAN BROTHERS INC.
December 9, 1993 - August 1, 1994
THAMESWAY INC.
September 19, 1986 - September 8, 1998
INSTINET, LLC
June 24, 1986 - September 8, 1998
REUTERS C CORPORATION
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
Current Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
