Charles Rhyee
Professional summary
Charles Rhyee is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1996. Charles has worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Rhyee's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017February 15, 2011 - April 9, 2024
COWEN AND COMPANY
January 14, 2008 - February 3, 2011
OPPENHEIMER & CO. INC.
November 14, 2006 - January 14, 2008
CIBC WORLD MARKETS CORP.
April 20, 2005 - November 14, 2006
CREDIT SUISSE SECURITIES (USA) LLC
November 5, 2004 - April 11, 2005
JEFFERIES LLC
August 16, 2004 - November 9, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
April 21, 2004 - August 16, 2004
CHARLES SCHWAB & CO., INC.
September 22, 2003 - April 30, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
August 26, 1999 - September 25, 2003
CITIGROUP GLOBAL MARKETS INC.
April 22, 1999 - August 26, 1999
CITICORP INVESTMENT SERVICES
July 29, 1996 - January 21, 1998
ICAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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