Charles B. Baubonis
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 Bert Baubonis was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 4 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2003 - March 9, 2021
CSS, LLC
March 26, 2002 - May 6, 2003
BANC ONE CAPITAL MARKETS, INC.
September 2, 1997 - June 25, 1998
SBC WARBURG DILLON READ INC.
June 5, 1992 - September 2, 1997
SBC WARBURG, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/21/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/21/2024
Securities Trader ExamCurrent Firm
CSS, LLC
CRD#: 45980 / SEC#: , 8-51295
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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