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CF

Charles R. Frederick

TMX ALPHA US
New York, NY 10281
Some features on this profile are disabled
CRD#: 3272244
CF

Professional summary

Charles R Frederick, who also goes by Charles Russell Frederick, Charles R Frederick, Charles Frederick, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Russell Frederick | Charles R Frederick | Charles Frederick

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 R Frederick's 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

May 31, 2024 - Present

TMX ALPHA US, LLC

Office #1: 225 Liberty St, Suite 2310, New York, NY 10281
BD
CRD#: 329008
New York, NY
Past

May 29, 2019 - March 4, 2024

TD ARRANGED SERVICES LLC

BD
CRD#: 122529
NEW YORK, NY
Past

September 28, 2017 - May 15, 2019

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 5, 2007 - August 5, 2015

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

October 8, 2003 - December 6, 2007

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
SAN FRANCISCO, CA
Past

June 27, 2001 - September 11, 2003

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

May 16, 2000 - June 19, 2001

EPOCH SECURITIES, INC.

BD
CRD#: 103899
SOUTHBOROUGH, MA
Past

October 27, 1999 - April 25, 2000

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, 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
Florida
(10/1/2024)
RR
Illinois
(1/22/2025)
RR
Minnesota
(6/12/2025)
RR
New Jersey
(10/1/2024)
RR
New York
(6/10/2024)
RR
North Carolina
(10/1/2024)
RR
Ohio
(10/1/2024)
RR
Texas
(10/1/2024)
RR
Wisconsin
(10/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/31/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 10/30/2017
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/28/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/24/2001
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TMX ALPHA US, LLC
TMX ALPHA US, LLC | TSX ALPHA U.S., INC.

CRD#: 329008 / SEC#: , 8-71182

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

Main Address
225 Liberty St, Suite 2310, New York, NY 10281
Mailing Address
225 Liberty St, Suite 2310, New York, NY 10281
Phone number
(332) 900-6690
Established
Delaware since 11/01/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TMX U.S. HOLDINGS, INC.SHAREHOLDER
CHEN, DENNO MIN-WEICHIEF COMPLIANCE OFFICER8012832
FISCHER, HEIDI JILLPRESIDENT4821269
FREDERICK, CHARLESMANAGING DIRECTOR, PRODUCT DESIGN, ANALYTICS AND OPERATIONS3272244
RICHMOND, LAURE ECFO, FINOP5115429

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

TMX ALPHA US, LLC

CRD#: 329008New York, NY 10281

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