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Charles N. Piermarini

Some features on this profile are disabled
CRD#: 1962060
CP

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 N. Piermarini, who also goes by Charles N Piermarini, Charles Nunzio Piermarini, Charlie Piermarini, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 7 firms and has passed the Series 66, Series 7, Series 53, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles N Piermarini | Charles Nunzio Piermarini | Charlie Piermarini

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 7, 2010 - April 26, 2012

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
CHICAGO, IL
Past

July 18, 2007 - January 6, 2009

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

May 19, 2006 - April 26, 2012

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

May 9, 2005 - May 26, 2006

HARRISDIRECT LLC

RIA
CRD#: 42159
CHICAGO, IL
Past

December 1, 2004 - May 26, 2006

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

November 1, 2003 - December 1, 2004

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

October 21, 2002 - November 1, 2003

HARRIS NESBITT CORP.

BD
CRD#: 7299
CHICAGO, IL
Past

May 29, 1992 - December 1, 1994

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
Past

June 29, 1989 - April 1, 1991

HAMILTON INVESTMENTS, INC.

BD
CRD#: 821

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/5/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/21/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BC
BMO CAPITAL MARKETS GKST INC.
BMO CAPITAL MARKETS GKST INC. | GRIFFIN, KUBIK, STEPHENS & THOMPSON, INC.

CRD#: 8352 / SEC#: , 8-25091

BD
Terminated by SEC on 01/03/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/16/1980
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER JAFFRAY & CO.100% SHAREHOLDER665
CARTER, TIMOTHY LEEDIRECTOR AND TREASURER2676342
MCCAGUE, ANNCHARLOTTEDIRECTOR AND CHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event5

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.

Company Information

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

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