Charles C. Steele
Professional summary
Charles Carroll Steele, who also goes by Charles Carroll Steele Jr, Charles Carroll Steele, Charles Steele, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Carroll Steele's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2024 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601April 16, 2018 - January 31, 2024
JAVELIN SECURITIES, LLC
November 14, 2016 - February 17, 2021
CCSJ ADVISORY SERVICES, LLC
June 30, 2014 - June 17, 2016
JAVELIN SECURITIES, LLC
December 10, 2008 - May 1, 2013
ARBOR RESEARCH & TRADING, LLC
March 4, 2003 - June 19, 2008
J.P. MORGAN SECURITIES LLC
December 4, 2000 - October 28, 2002
HSBC SECURITIES (USA) INC.
April 22, 1993 - October 24, 2000
PERSHING LLC
October 13, 1989 - April 28, 1993
CITIGROUP GLOBAL MARKETS INC.
April 23, 1987 - September 26, 1989
J.P. MORGAN SECURITIES 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
(5/15/2024)
(6/24/2024)
(5/15/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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