Charles Posner
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 Posner was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 55 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
April 4, 2014 - December 12, 2014
WORLD TRADE FINANCIAL CORPORATION
March 18, 2011 - December 2, 2013
ASCENDIANT CAPITAL MARKETS, LLC
September 4, 2007 - April 14, 2011
NOBLE CAPITAL MARKETS, INC.
November 9, 2006 - April 18, 2007
STG SECURE TRADING GROUP, INC.
May 2, 2006 - July 11, 2006
G-2 TRADING,LLC
March 5, 2003 - August 29, 2003
EKN FINANCIAL SERVICES INC.
June 25, 2002 - September 17, 2002
STG SECURE TRADING GROUP, INC.
February 19, 2002 - May 30, 2002
PROGRAM TRADING CORP.
September 3, 1998 - January 2, 2001
HUDSON SECURITIES,INC.
July 1, 1998 - August 19, 1998
COWEN AND COMPANY
April 2, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
November 10, 1993 - March 6, 1996
PRUDENTIAL EQUITY GROUP, LLC
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: 12/21/2006
Limited Representative-Equity Trader ExamCurrent Firm
WORLD TRADE FINANCIAL CORPORATION
CRD#: 42638 / SEC#: , 8-49944
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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