Charles Kessler
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 Kessler, who also goes by Charles Kessler, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 14 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2015 - October 23, 2015
NFSTX, LLC
December 7, 2010 - September 17, 2015
GENESIS GLOBAL TRADING, INC
December 22, 2009 - November 18, 2010
COWEN EXECUTION SERVICES LLC
October 28, 2008 - January 12, 2010
NYFIX MILLENNIUM, L.L.C.
October 28, 2008 - February 5, 2010
VELOCITY CLEARING, LLC
February 22, 2005 - October 9, 2008
J.P. MORGAN SECURITIES LLC
July 15, 2004 - April 28, 2006
INSTITUTIONAL DIRECT INC.
October 1, 2000 - July 19, 2004
DRIVEWEALTH INSTITUTIONAL 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 12
Date: 8/7/1998
NYSE Branch Manager ExaminationCurrent Firm
NFSTX, LLC
CRD#: 172583 / SEC#: , 8-69512
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
