Charles P Gillette
Professional Summary
Charles P Gillette, who also goes by C. Rick Gillette, Charles Patrick Gillette, Rick Gillette, is a registered financial advisor currently at GTS SECURITIES LLC located in New York, New York and CLEARLIST SECURITIES LLC located in New York, New York. Charles is registered as a RR (Registered Representative) and started their career in finance in 2007. Charles has worked at 6 firms and has passed the Series 57TO, Series 99TO, SIE, Series 55, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
C. Rick Gillette, Charles Patrick Gillette, Rick Gillette
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Contact Information
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARLIST LLC
Contact Information
Main Address
625 6th Avenue 3rd Floor, New York, NY 10011Mailing Address
625 6th Avenue 3rd Floor, New York, NY 10011Phone Number
(212) 207-1350Established
Delaware since 03/04/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEARLIST HOLDINGS LLC | SOLE MEMBER | — |
| CHAIKIN, KASSIDY | CHIEF OPERATING OFFICER | 7596402 |
| GILLETTE, CHARLES P | CHIEF COMPLIANCE OFFICER | 3174027 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| MURPHY, PATRICK THOMAS | CHIEF EXECUTIVE OFFICER | 2439168 |
| PARISE, JANICE DRU | FINOP, PFO | 2338583 |
| WHITE, WHITNEY JAMES | CHIEF INFORMATION OFFICER, PRESIDENT | 3093386 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2007SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles P Gillette's CRS (Customer Relationship Summary).
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