Abraham C. Halpern
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.
Abraham Charles Halpern, who also goes by A Charles Halpern, Chuck Halpern, was a registered financial professional .
Abraham is a previously registered financial professional and started their career in finance in 1968. Abraham had worked at 10 firms and has passed the Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1993 - February 15, 1995
CITICORP INVESTMENT SERVICES
September 4, 1990 - March 1, 1993
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
May 16, 1978 - May 13, 1988
MORGAN STANLEY DW INC.
September 16, 1977 - May 27, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 21, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
November 8, 1974 - March 31, 1975
SHEARSON HAYDEN STONE INC.
June 30, 1968 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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
Series 1
Date: 9/20/1968
Registered Representative ExaminationCurrent Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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.
