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CR

Charles J. Rack

MORA CAPITAL SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 3272135
CR
Charles Joseph RackMORA CAPITAL SECURITIES

Professional summary

Charles Joseph Rack is a registered financial professional currently at MORA CAPITAL SECURITIES LLC located in Miami, Florida.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Joseph Rack's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 8, 2018 - Present

MORA CAPITAL SECURITIES LLC

Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131
BD
CRD#: 158599
MIAMI, FL
Past

July 31, 2017 - January 2, 2018

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
MIAMI, FL
Past

January 30, 2009 - July 31, 2017

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MIAMI, FL
Past

August 4, 2003 - August 12, 2008

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
MIAMI, FL
Past

July 25, 2003 - August 12, 2008

UBS INTERNATIONAL INC.

BD
CRD#: 107726
MIAMI, FL
Past

October 21, 1999 - July 28, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MIAMI, FL
Past

October 20, 1999 - July 28, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/8/2018)
RR
Florida
(1/8/2018)
RR
New Jersey
(1/8/2018)
RR
New York
(1/8/2018)

Exams

What does exam status mean?
State Security Law Exam
RR
PR
Series 66
Status Unavailable
Passed: 1/12/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Status Unavailable
Passed: 10/25/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 10/19/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MORA CAPITAL SECURITIES LLC
BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES | MORA CAPITAL SECURITIES LLC

CRD#: 158599 / SEC#: , 8-68910

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Mailing Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Phone number
(305) 459-5400
Established
Delaware since 06/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MORA CAPITAL HOLDINGS USA, LLCOWNER / MEMBER
FRANCES, JOAQUIN NMNCEO/CCO/AMLCO4551274
STICE, HAROLD EUGENEFINOP1349210

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.

Company Information

MORA CAPITAL SECURITIES LLC

CRD#: 158599Miami, FL 33131

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