Charles B. Egnatz
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 Brian Egnatz was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2020 - November 18, 2020
DIGITAL CAPITAL MARKETS LLC
May 7, 2019 - May 7, 2020
LITTLE RIVER CAPITAL, LLC
August 1, 2018 - February 2, 2019
TRIBAL CAPITAL MARKETS, LLC
April 21, 2010 - April 10, 2015
HSBC SECURITIES (USA) INC.
May 15, 1991 - March 12, 1992
LADENBURG THALMANN & CO. INC.
July 14, 1989 - May 8, 1991
UBS FINANCIAL SERVICES 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
DIGITAL CAPITAL MARKETS LLC
CRD#: 298311 / SEC#: , 8-70183
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARNETT, GARY | CEO, CCO | |
| HELLER, JEFFREY PHILIP | FINOP | 3139370 |
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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