Charles E. Ciaccio
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 Edward Ciaccio was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 1 firm and has passed the Series 63, 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
June 3, 1999 - March 16, 2001
TRADE.COM ONLINE SECURITIES, 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
Series 55
Date: 1/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRADE.COM ONLINE SECURITIES, INC.
CRD#: 36189 / SEC#: , 8-47085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADE.COM GLOBAL MARKETS, INC. | SOLE SHAREHOLDER | |
| ASCHENBRENNER, ERIK DAVID | MANAGING DIRECTOR - COMPLIANCE / REGULATORY | 1595274 |
| BEHRMAN, MARK TODD | DIRECTOR, EXECUTIVE VP / CFO - FINOP | 1657208 |
| CASTAGNA, MATTHEW DOMINIC | DIRECTOR / SECRETARY | 4123051 |
| DUKES, KERRY JOSEPH | DIRECTOR, PRESIDENT | 1773976 |
| GULBIN, JOSEPH PETER JR | SROP / CROP | 2364022 |
| RUBIN, NEIL ROY | DIRECTOR, EXECUTIVE VICE PRESIDENT | 1070698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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