Charles T. Croney
Professional summary
Charles Titus Hyslop Croney III, who also goes by Charles Titus-h Croney, Charles Titushyslop Croney III, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in Iselin, New Jersey.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1992. Charles has worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Titus Hyslop Croney III's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2018 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 101 South Wood Ave. 4th Floor, Iselin, NJ, 08830January 28, 2015 - June 1, 2017
MIZUHO SECURITIES USA LLC
March 5, 2012 - February 14, 2013
RENCAP SECURITIES, INC.
June 1, 2009 - December 23, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
September 10, 2008 - November 4, 2008
LEHMAN BROTHERS INC.
September 10, 2008 - November 4, 2008
LEHMAN BROTHERS INC.
July 23, 2004 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2002 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1996 - July 29, 2002
GOLDMAN SACHS & CO. LLC
July 18, 1994 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
January 7, 1993 - June 6, 1994
NORTHEAST SECURITIES, LLC
September 30, 1992 - January 28, 1993
METROPOLITAN LIFE INSURANCE COMPANY
September 30, 1992 - January 28, 1993
MSI FINANCIAL SERVICES, 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
(12/17/2018)
(12/14/2018)
(12/17/2018)
(12/17/2018)
(12/19/2018)
(12/2/2024)
(12/17/2018)
(12/17/2018)
(12/14/2018)
(12/17/2018)
(12/19/2018)
(12/18/2018)
(12/17/2018)
(12/17/2018)
(12/17/2018)
(12/18/2018)
(12/20/2018)
(12/14/2018)
(12/14/2018)
(12/14/2018)
(12/18/2018)
(12/14/2018)
(12/17/2018)
(12/19/2018)
(12/19/2018)
(6/9/2022)
(12/14/2018)
(12/14/2018)
(12/14/2018)
(12/14/2018)
(12/14/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/19/1999
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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