Charles Frederick
Professional Summary
Charles Frederick, who also goes by Charles Russell Frederick, Charles R Frederick, Charles Frederick, is a registered financial advisor currently at TMX ALPHA US, LLC located in New York, New York. Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7, Series 55 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles Russell Frederick, Charles R Frederick, Charles Frederick
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TMX ALPHA US, LLC | TSX ALPHA U.S., INC.
Contact Information
Main Address
225 Liberty St, Suite 2310, New York, NY 10281Mailing Address
225 Liberty St, Suite 2310, New York, NY 10281Phone Number
(332) 900-6690Established
Delaware since 11/01/2025Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(1/29/2026)
(10/1/2024)
(1/22/2025)
(6/12/2025)
(10/1/2024)
(6/10/2024)
(10/1/2024)
(1/29/2026)
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 Oct 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Frederick's CRS (Customer Relationship Summary).
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