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CM

Charles E. Mather

ARCADIA SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 1560103
CM

Professional summary

Charles E Mather IV, CFA, who also goes by Charles E Mather, Charles Mather IV, Charlie Mather, is a registered financial professional currently at ARCADIA SECURITIES, LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1986. Charles has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles E Mather | Charles Mather Iv | Charlie Mather

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) - BD

Click below to view Charles E Mather IV's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

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

Chartered Financial Analyst

Experience

Current

September 18, 2023 - Present

ARCADIA SECURITIES, LLC

Office #1: 600 Lexington Avenue 30th Floor, New York, NY 10022
BD
CRD#: 44656
New York, NY
Past

November 18, 2019 - January 26, 2023

TRUIST SECURITIES, INC.

BD
CRD#: 6271
New York, NY
Past

March 30, 2015 - September 24, 2019

BTIG, LLC

BD
CRD#: 122225
New York, NY
Past

December 11, 2009 - February 28, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
NEW YORK, NY
Past

December 2, 2008 - December 10, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

May 21, 2007 - September 29, 2008

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

April 15, 1997 - May 30, 2007

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

October 4, 1994 - March 6, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 19, 1992 - August 17, 1993

PRUDENTIAL ASSET SALES & SYNDICATIONS, INC. ("PASS")

BD
CRD#: 15363
Past

October 22, 1986 - February 6, 1990

PRUDENTIAL ASSET SALES & SYNDICATIONS, INC. ("PASS")

BD
CRD#: 15363

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/18/2023)
RR
Colorado
(9/18/2023)
RR
Connecticut
(9/18/2023)
RR
Florida
(9/18/2023)
RR
Illinois
(9/18/2023)
RR
Maryland
(9/18/2023)
RR
Massachusetts
(9/18/2023)
RR
Minnesota
(9/18/2023)
RR
New Jersey
(9/18/2023)
RR
New York
(9/18/2023)
RR
Ohio
(9/19/2023)
RR
Pennsylvania
(9/18/2023)
RR
Texas
(9/18/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/19/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER2290795
KONTULIS, CHARLES PHEDON IIMANAGING DIRECTOR1327613
KONTULIS, CHARLES PHEDON IIROSFP1327613
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

Disclosures

Regulatory Event1

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.

Company Information

ARCADIA SECURITIES, LLC

CRD#: 44656New York, NY 10022

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