Charles J. Ditkoff

MARWOOD GROUP

New York, NY 10017

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CRD#: 2293743

Professional summary

Charles Joshua Ditkoff, who also goes by Charles J Ditkoff, Charlie Ditkoff, is a registered financial professional currently at MARWOOD GROUP located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles J Ditkoff | Charlie Ditkoff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Joshua Ditkoff's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 23, 2023 - Present

MARWOOD GROUP

Office #1: 733 Third Avenue 11th Floor, New York, NY 10017

RIA

CRD#: 117015

New York, NY

Past

September 22, 2017 - May 11, 2023

MTS SECURITIES, LLC

CRD#: 104059

NEW YORK, NY

Past

March 31, 2014 - September 11, 2017

MARWOOD GROUP

CRD#: 117015

NEW YORK, NY

Past

January 2, 2009 - July 5, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 11, 1999 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

April 20, 1994 - February 9, 1999

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

April 2, 1993 - April 19, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/23/2023)

Exams

State Security Law Exam

Series 63

Date: 4/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARWOOD GROUP

MARWOOD GROUP | MARWOOD GROUP LLC | MARWOOD GROUP ASSET MANAGEMENT LLC

CRD#: 117015 / SEC#: , 8-53573

Connecticut

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/14/2004 Approved)

Illinois

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (12/31/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (12/2/2003 Approved)

Oregon

Registered Investment Advisory firm - SEC (12/31/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

733 Third Avenue 11th Floor, New York, NY 10017

Mailing Address

733 Third Avenue 11th Floor, New York, NY 10017

Phone number

(212) 532-3651

Established

New York since 06/06/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MARWOOD GROUP & CO USA LLC	SHAREHOLDER
BEATON, DANIEL STEWART	FINOP	4240769
MODZELEWSKI, THOMAS JUDE	COO & CCO	4570850
MOORE, JOHN THOMAS JR	CEO	1931756

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Charles J. Ditkoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Joshua Ditkoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

MTS SECURITIES, LLC

MARWOOD GROUP

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

MORGAN STANLEY & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1999

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1993

Series 24

Date: 7/13/2004

FINRA

Current Firm

MARWOOD GROUP

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARWOOD GROUP

TRUST BUT VERIFY

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