Charles F. Tennant
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 Floyd Tennant II, who also goes by Chuck Floyd Tennant, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 55, 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
October 13, 2017 - May 1, 2019
ROBINHOOD SECURITIES, LLC
April 12, 2017 - May 1, 2019
ROBINHOOD FINANCIAL, LLC
November 4, 2013 - April 4, 2017
SS&C MARKET SERVICES, LLC
April 24, 2013 - October 7, 2013
CETERA INVESTMENT SERVICES LLC
April 24, 2013 - October 7, 2013
CETERA FINANCIAL SPECIALISTS LLC
April 24, 2013 - October 7, 2013
CETERA ADVISORS LLC
April 24, 2013 - October 7, 2013
CETERA WEALTH SERVICES, LLC
September 11, 2007 - August 16, 2011
PORTFOLIO BROKERAGE SERVICES, INC.
June 28, 2005 - August 22, 2007
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
November 6, 1997 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 6, 1997 - August 22, 2007
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Series 55
Date: 2/25/2015
Limited Representative-Equity Trader ExamCurrent Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
