Charles Milone
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 Milone was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 8 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2007 - March 11, 2020
CREDIT SUISSE SECURITIES (USA) LLC
February 10, 2006 - June 26, 2007
LAVAFLOW, INC.
July 29, 2003 - February 12, 2007
CITIGROUP GLOBAL MARKETS PUERTO RICO INC.
July 3, 2003 - June 26, 2007
CITICORP SECURITIES SERVICES, INC.
October 5, 1998 - March 27, 2006
SALOMON REINVESTMENT COMPANY INC
September 1, 1998 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
October 6, 1995 - September 1, 1998
SALOMON BROTHERS INC.
June 26, 1987 - July 12, 1995
JPMSI
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
