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CM

Charles E. Millard

STOCK SECURITIES LLC
Stamford, CT 06901-3435
Some features on this profile are disabled
CRD#: 2640940
CM

Professional summary

Charles Edward Francis Millard, who also goes by Charles Edward Francis Millard Jr, is a registered financial professional currently at STOCK SECURITIES LLC located in Stamford, Connecticut.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Edward Francis Millard Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Edward Francis Millard's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 15, 2024 - Present

STOCK SECURITIES LLC

Office #1: 201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435
BD
CRD#: 32244
Stamford, CT
Past

December 12, 2017 - March 1, 2022

KISKI SECURITIES LLC

BD
CRD#: 159281
NEW YORK, NY
Past

February 17, 2011 - November 3, 2016

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 27, 2009 - March 31, 2011

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
NEW YORK, NY
Past

January 13, 2005 - June 4, 2007

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
NEW YORK, NY
Past

May 15, 2001 - July 6, 2004

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 16, 1999 - May 5, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 1, 1995 - December 7, 1995

CAMBRIDGE PARTNERS, L.L.C.

BD
CRD#: 37923

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(2/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STOCK SECURITIES LLC
STOCK SECURITIES LLC | SWORD SECURITIES LLC | SWORD SECURITIES CORPORATION

CRD#: 32244 / SEC#: , 8-45650

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
201 Tresser Boulevard Suite 345, Stamford, CT 06901-3435
Mailing Address
886 Patterson Avenue, New York, NY 10306
Phone number
(203) 595-4546
Established
Delaware since 07/31/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FFP AFFILIATES IV, LLCPARENT COMPANY
BARENBOIM, LEONARDCHIEF COMPLIANCE OFFICER1523181
CAMISA, KATHLEENFINOP, CHIEF FINANCIAL OFFICER3239619
STOCK, KEITHCHIEF EXECUTIVE OFFICER6141019

Disclosures

Regulatory Event2

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.

Company Information

STOCK SECURITIES LLC

CRD#: 32244Stamford, CT 06901-3435

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