Charles E. Moser
Professional summary
Charles Edward Moser, who also goes by Charles E Moser, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Edward Moser's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2024 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169February 6, 2023 - December 1, 2023
SANTANDER US CAPITAL MARKETS LLC
April 14, 2020 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
December 6, 2004 - April 2, 2020
MORGAN STANLEY & CO. LLC
June 2, 2003 - August 31, 2004
COMMERZ MARKETS LLC
February 27, 2001 - May 1, 2001
JPMSI
December 19, 1994 - April 25, 2002
J.P. MORGAN SECURITIES INC.
September 29, 1992 - July 26, 1994
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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