Charles J. Fiorucci
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 Fiorucci, who also goes by Charles J Fiorucci, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2010 - April 13, 2010
FORESTERS EQUITY SERVICES, INC.
January 11, 2008 - December 31, 2009
FORTUNE FINANCIAL SERVICES, INC.
October 25, 2006 - December 31, 2007
WORKMAN SECURITIES CORPORATION
December 19, 2000 - October 27, 2006
USALLIANZ SECURITIES, INC.
November 18, 1997 - December 31, 2000
LOCUST STREET SECURITIES, INC.
September 21, 1993 - November 24, 1997
INVESTORS CAPITAL CORP.
October 2, 1991 - September 21, 1993
HACKETT ASSOCIATES, INC.
June 7, 1991 - October 2, 1991
WADDELL & REED
May 6, 1991 - June 25, 1991
PFS INVESTMENTS INC.
February 13, 1987 - March 22, 1991
NEW ENGLAND SECURITIES
December 22, 1986 - February 17, 1987
PFS INVESTMENTS 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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