Charles M. Abate
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 Michael Abate was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 6 firms and has passed the Series 63, Series 6 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 16, 2002 - October 23, 2003
LEGEND SECURITIES, INC.
July 30, 2001 - January 23, 2002
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 2001 - January 23, 2002
MSI FINANCIAL SERVICES, INC.
October 21, 1998 - May 4, 1999
THE CAMELOT GROUP, INC.
March 8, 1995 - October 6, 1998
JOSEPH CHARLES & ASSOC., INC.
September 22, 1994 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
October 19, 1992 - September 2, 1994
JOSEPH CHARLES & ASSOC., 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
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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