Charles R. Urquhart
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 Richard Urquhart, who also goes by Charles R Urquhart, Charles Richard Urquhart II, Charles Richard Urquhart, Chuck Urquhart Ii, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2017 - March 9, 2018
TRADEWEB DIRECT LLC
March 3, 2010 - April 8, 2016
FIDELITY BROKERAGE SERVICES LLC
March 22, 2000 - May 13, 2014
NATIONAL FINANCIAL SERVICES LLC
January 27, 2000 - May 18, 2007
FIDELITY BROKERAGE SERVICES LLC
November 7, 1994 - February 6, 1996
LUTHY BAILLIE DOWSETT PETHICK, INC.
June 11, 1991 - November 7, 1994
LEHMAN BROTHERS INC.
August 15, 1989 - July 3, 1990
KIDDER, PEABODY & CO. INCORPORATED
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 55
Date: 12/22/2015
Limited Representative-Equity Trader ExamCurrent Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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