Charles H. Behette
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 H Behette, who also goes by Charles H Behette, Charles Behette, Chares Behette, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, 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
February 8, 2023 - October 7, 2024
SG AMERICAS SECURITIES, LLC
June 9, 2022 - February 2, 2023
VELOCITY CAPITAL, LLC
February 19, 2013 - March 16, 2022
MIZUHO SECURITIES USA LLC
June 7, 2010 - December 31, 2012
VIRTU ALTERNET SECURITIES LLC
April 27, 2009 - December 31, 2012
VIRTU ITG LLC
May 22, 2007 - July 31, 2008
J.P. MORGAN SECURITIES INC.
December 13, 2002 - December 18, 2006
COMMERZ MARKETS LLC
January 1, 1998 - December 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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