Charles Comparetto
Professional summary
Charles Comparetto, who also goes by Charles Michael Comparetto, is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1989. Charles has 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) - BD
Click below to view Charles Comparetto's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2024 - Present
TJM INVESTMENTS, LLC
Office #1: 192 Lexington Avenue Suite 1203, New York, NY 10016October 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
(9/13/2024)
Exams
Series 72
Date: 9/24/1998
Government Securities Representative ExaminationFINRA
Current 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 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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