Charles A. Sayegh
Professional summary
Charles A Sayegh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Charles had worked at 5 firms, which includes ROCKWELL GLOBAL CAPITAL LLC, LAMPERT CAPITAL MARKETS INC., SPENCER CLARKE LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2012 - April 2, 2013
ROCKWELL GLOBAL CAPITAL LLC
March 8, 2010 - June 29, 2010
LAMPERT CAPITAL MARKETS INC.
November 13, 2002 - August 19, 2008
SPENCER CLARKE LLC
March 5, 2001 - November 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1998 - February 21, 2001
MORGAN STANLEY DW 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
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
