Charles Huang
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 Huang was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 6, Series 14 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
July 7, 2023 - July 30, 2024
APOLLO GLOBAL SECURITIES, LLC
December 23, 2011 - July 30, 2024
GRIFFIN CAPITAL SECURITIES, LLC
May 11, 2010 - December 22, 2011
GRUBB & ELLIS CAPITAL CORPORATION
August 23, 2006 - October 7, 2011
GRUBB & ELLIS SECURITIES, INC.
August 15, 2005 - August 22, 2006
WEDBUSH SECURITIES INC.
July 12, 2000 - July 18, 2005
VANGUARD CAPITAL
January 23, 1996 - January 21, 1997
WOODBURY FINANCIAL SERVICES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
