Charles E. Susi
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 Edward Susi was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1991. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2013 - June 11, 2014
GETCO EXECUTION SERVICES LLC
August 15, 2013 - July 27, 2017
VIRTU AMERICAS LLC
April 30, 2008 - June 17, 2013
UBS SECURITIES LLC
January 16, 2002 - April 14, 2003
INET ATS, INC.
January 16, 2002 - April 14, 2003
NASDAQ CAPITAL MARKETS ADVISORY LLC
October 24, 2001 - November 27, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 2, 1992 - October 14, 1993
LEHMAN BROTHERS INC.
April 18, 1991 - August 12, 1992
NATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 8/31/2009
Limited Representative-Equity Trader ExamCurrent Firm
GETCO EXECUTION SERVICES LLC
CRD#: 145021 / SEC#: , 8-67694
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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