Charles E. Lecroy
Professional summary
Charles Earl Lecroy JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Charles had worked at 7 firms, which includes GARDNYR MICHAEL CAPITAL INC., J.P. MORGAN SECURITIES INC., JPMSI, RAYMOND JAMES & ASSOCIATES INC., LEHMAN BROTHERS INC., SOUTHEASTERN CAPITAL GROUP INC., HSBC BROKERAGE (USA) INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2004 - June 18, 2004
GARDNYR MICHAEL CAPITAL, INC.
March 5, 2001 - March 31, 2004
J.P. MORGAN SECURITIES INC.
April 1, 1999 - May 1, 2001
JPMSI
September 1, 1993 - March 25, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 29, 1992 - July 1, 1993
LEHMAN BROTHERS INC.
October 14, 1988 - April 26, 1991
SOUTHEASTERN CAPITAL GROUP, INC.
April 14, 1988 - June 7, 1988
HSBC BROKERAGE (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
GARDNYR MICHAEL CAPITAL, INC.
CRD#: 30520 / SEC#: , 8-44963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNT, PFILIP GARDNYR JR | PRES./ SEC./TRES./DIR./CCO/CFO | 1613985 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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