Charles J. Carr
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 Joseph Carr, CFA, who also goes by Charles Joseph Carr Jr, Charles Carr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
March 15, 2022 - April 5, 2025
CHARLES SCHWAB & CO., INC.
June 23, 2008 - October 14, 2022
TD AMERITRADE, INC.
June 23, 2008 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 23, 2008 - July 29, 2024
TD AMERITRADE, INC.
September 18, 2007 - June 5, 2008
HSBC SECURITIES (USA) INC.
September 8, 2007 - June 5, 2008
HSBC SECURITIES (USA) INC.
December 9, 2003 - October 17, 2006
BNY MELLON SECURITIES CORPORATION
August 28, 2000 - October 17, 2006
BNY MELLON SECURITIES CORPORATION
November 29, 1999 - August 23, 2000
CITICORP INVESTMENT SERVICES
May 12, 1998 - December 2, 1999
BNY MELLON SECURITIES CORPORATION
May 29, 1996 - March 25, 1998
EDWARD JONES
February 1, 1995 - March 28, 1996
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
