Charles E. Sax
Professional summary
Charles Edmond Sax is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Edgewood, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1988. Charles has worked at 8 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Edmond Sax's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2013 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 300 Executive Drive Suite 1, Edgewood, NY 11717-8382Office #2: 300 Executive Drive, Edgewood, NY 11717October 20, 2004 - November 22, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 16, 2001 - October 1, 2001
SURETRADE INC.
March 16, 2001 - October 20, 2004
QUICK & REILLY, INC.
October 30, 2000 - June 1, 2012
APEX CLEARING CORPORATION
July 28, 1997 - November 2, 2000
J.P. MORGAN SECURITIES INC.
May 9, 1995 - January 1, 1997
DEUTSCHE BANK SECURITIES INC.
April 7, 1988 - December 20, 1988
MANUFACTURERS HANOVER SECURITIES CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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