Charles W. Ginste
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 William Ginste was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 4 firms and has passed the Series 63, Series 55 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 17, 2010 - January 26, 2012
GLEACHER & COMPANY SECURITIES, INC.
February 24, 2004 - June 25, 2010
BROADPOINT AMTECH, INC.
August 6, 1997 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
July 9, 1997 - July 31, 1997
SOUNDVIEW TECHNOLOGY CORPORATION
May 22, 1996 - August 1, 1997
WEEDEN & CO.L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/7/1998
Limited Representative-Equity Trader ExamCurrent Firm
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
Red Flags
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