Charles J. Horvath
Professional summary
Charles John Horvath JR, who also goes by Charles John Horvath, Chuck Horvath, Skip Horvath, is a registered financial professional currently at ING FINANCIAL MARKETS LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1988. Charles has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 16, Series 3, Series 7, Series 10, Series 9, Series 27, Series 24, Series 14, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles John Horvath JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2001 - Present
ING FINANCIAL MARKETS LLC
Office #1: 1133 Avenue Of The Americas, New York, NY 10036March 27, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
July 30, 1999 - April 24, 2000
DEUTSCHE BANK SECURITIES INC.
September 18, 1998 - June 17, 1999
HSBC SECURITIES (USA) INC.
April 7, 1998 - August 21, 1998
TD SECURITIES (USA) LLC
September 2, 1997 - April 2, 1998
SBC WARBURG DILLON READ INC.
October 22, 1996 - September 2, 1997
SBC WARBURG, INC.
October 28, 1991 - October 14, 1996
MORGAN STANLEY & CO. LLC
March 27, 1990 - November 8, 1991
SALOMON BROTHERS INC.
July 31, 1989 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
May 25, 1988 - October 8, 1988
CITIGROUP GLOBAL MARKETS 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
(4/30/2001)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/23/1989
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
ING FINANCIAL MARKETS LLC
CRD#: 28872 / SEC#: , 8-43978
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MAESTAS, ADRIANA EMILIA | GENERAL COUNSEL | 7415275 |
| MCCARTHY, JOHN | CHIEF COMPLIANCE OFFICER | 4117424 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
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.
