Charles C. Hastings
Professional summary
Charles Christopher Hastings, who also goes by C Chris Hastings, is a registered financial professional currently at CAPSTONE PARTNERS 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 13 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 Christopher Hastings's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 1, 2023 - Present
CAPSTONE PARTNERS
Office #1: 104 West 40th Street 3rd Floor, New York, NY 10018March 30, 2023 - May 19, 2023
HOULIHAN LOKEY CAPITAL, INC.
July 5, 2022 - May 19, 2023
HOULIHAN LOKEY ADVISORS, LLC
February 1, 2022 - March 27, 2023
HOULIHAN LOKEY CAPITAL, INC.
March 1, 2018 - October 25, 2021
DC ADVISORY
October 13, 2015 - March 1, 2018
SIGNAL HILL CAPITAL GROUP LLC
August 27, 2012 - September 14, 2015
BERCHWOOD PARTNERS LLC
October 13, 2009 - August 27, 2012
CANTOR FITZGERALD & CO.
October 22, 2007 - August 28, 2009
CREDIT SUISSE SECURITIES (USA) LLC
October 15, 1999 - October 3, 2007
J.P. MORGAN SECURITIES LLC
June 12, 1997 - October 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 8, 1996 - April 29, 1997
BNY CAPITAL MARKETS INC.
October 1, 1993 - March 9, 1995
BANCAMERICA SECURITIES, INC.
June 9, 1993 - October 1, 1993
BA INVESTMENT 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
(5/1/2023)
(1/8/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CAPSTONE PARTNERS
CRD#: 132185 / SEC#: , 8-66572
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE CORPORATE FINANCE LLC | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| CASPER, MARK VERNON JR. | CHIEF FINANCIAL OFFICER | 6682711 |
| DAHLKE, STEPHEN MATTHEW | CHIEF COMPLIANCE OFFICER | 2577928 |
| FERRARA, JOHN MARIO II | PRESIDENT | 2097226 |
| JANSON, PAUL EDWARD | DIRECTOR | 4992234 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | EXECUTIVE MANAGING DIRECTOR | 6419334 |
| VALDIVIA, SERENA | AML OFFICER | 7790899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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