Charles H. Constant
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 Howland Constant was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 9 firms and has passed the Series 66, 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
November 24, 2015 - November 9, 2017
GLOBAL OAK CAPITAL MARKETS LLC
January 23, 2013 - December 19, 2013
AQUA SECURITIES L.P.
November 17, 2010 - November 12, 2012
HEIGHT CAPITAL MARKETS
September 4, 2008 - January 9, 2009
COMPASS POINT RESEARCH & TRADING, LLC
February 18, 2004 - June 27, 2008
B. RILEY SECURITIES, INC.
October 20, 2003 - February 24, 2004
UBS FINANCIAL SERVICES INC.
July 30, 2003 - February 24, 2004
UBS FINANCIAL SERVICES INC.
January 13, 2001 - November 5, 2002
DEUTSCHE BANK SECURITIES INC.
May 31, 2000 - January 13, 2001
DB ALEX. BROWN LLC
July 8, 1999 - May 31, 2000
FERRIS, BAKER WATTS, LLC
June 14, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
February 10, 1999 - June 14, 1999
DB ALEX. BROWN 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: 4/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL OAK CAPITAL MARKETS LLC
CRD#: 125860 / SEC#: , 8-65829
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANGEL OAK GLOBAL MARKETS, LLC | OWNER | |
| DRAKE, WILLIAM FRANCIS III | OWNER | 1621314 |
| LIEBERGALL, JONATHAN SCOTT | OWNER / CEO | 1744845 |
| PARKWAY INVESTMENT MANAGEMENT | OWNER | |
| WALKER, FREDERICK EUCLID | OWNER | 2360896 |
| MAGBALON, MICHAEL JOHN | OWNER | 7220640 |
| TOFT, CHRISTIAN DAVID | OWNER | 4389124 |
| KATZ, MARIE | CFO, FINOP, CCO | 2457660 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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