Charles A. Dacruz
Professional summary
Charles Albert Dacruz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Charles had worked at 7 firms, which includes TRIDENT PARTNERS LTD., J.P. TURNER & COMPANY L.L.C., FIRST MONTAUK SECURITIES CORP., FIRST PROVIDENCE FINANCIAL GROUP LLC, FOSTER JEFFRIES SECURITIES LLC, MATRIX SECURITIES CORPORATION, FAIRCHILD FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2001 - January 5, 2007
TRIDENT PARTNERS LTD.
November 17, 2000 - January 31, 2001
J.P. TURNER & COMPANY, L.L.C.
May 23, 2000 - October 30, 2000
TRIDENT PARTNERS LTD.
July 19, 1999 - June 7, 2000
FIRST MONTAUK SECURITIES CORP.
July 13, 1998 - July 23, 1999
FIRST PROVIDENCE FINANCIAL GROUP, LLC
October 28, 1996 - June 29, 1998
FOSTER JEFFRIES SECURITIES, LLC
September 13, 1995 - October 25, 1996
MATRIX SECURITIES CORPORATION
July 27, 1995 - September 18, 1995
FAIRCHILD FINANCIAL GROUP, 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
Series 62
Date: 7/26/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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