Charles Comparetto
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 Comparetto, who also goes by Charles Michael Comparetto, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 9 firms and has passed the Series 63, SIE, Series 72 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2024 - December 16, 2025
TJM INVESTMENTS, LLC
October 7, 2019 - October 25, 2022
ICAP SECURITIES USA LLC
April 1, 2011 - July 10, 2019
BGC FINANCIAL, L.P.
August 22, 2008 - April 8, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
October 18, 2002 - October 9, 2008
TULLETT LIBERTY BROKERAGE INC.
February 1, 2002 - October 29, 2002
ICAP SECURITIES USA LLC
March 15, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
March 19, 1999 - April 27, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
March 19, 1999 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
January 22, 1998 - March 8, 1999
TULLETT & TOKYO SECURITIES, INC.
November 22, 1989 - June 18, 1993
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
Series 72
Date: 9/24/1998
Government Securities Representative ExaminationCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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