Charles E. Connant
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.
Charles Ellis Connant JR., who also goes by Charles E (jr) Connant, Charles Ellis Connant Jr, Charles Ellis Connant, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2022 - April 15, 2024
FIDELITY BROKERAGE SERVICES LLC
June 11, 2015 - June 29, 2022
PFS INVESTMENTS INC.
October 1, 2012 - November 20, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 20, 2012
J.P. MORGAN SECURITIES LLC
September 20, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 20, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 16, 2008 - September 9, 2011
NEW ENGLAND SECURITIES
August 21, 2008 - September 9, 2011
NEW ENGLAND SECURITIES
July 18, 2007 - August 20, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 18, 2007 - August 20, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 13, 2006 - June 22, 2007
DU PASQUIER & CO., INC.
January 4, 2005 - June 22, 2007
DU PASQUIER & CO., INC.
July 5, 2002 - January 5, 2005
MORGAN STANLEY DW INC.
March 28, 2000 - January 5, 2005
MORGAN STANLEY DW INC.
April 14, 1994 - March 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
