Charles S. Mercein
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 Schley Mercein, who also goes by Charles S Mercein, Chuck Mercein, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2012 - December 4, 2017
DELPHOS MMJ L.P.
May 1, 2001 - September 21, 2010
BMO CAPITAL MARKETS CORP.
November 24, 1992 - May 29, 2001
ABN AMRO SECURITIES LLC
March 13, 1992 - September 15, 1992
EQUITY SERVICES, INC.
June 24, 1991 - December 17, 1991
BUCKMAN, BUCKMAN & REID, INC.
April 25, 1990 - May 8, 1991
MML INVESTORS SERVICES, LLC
April 26, 1982 - November 12, 1985
CREDIT SUISSE SECURITIES (USA) LLC
October 14, 1977 - March 9, 1982
CITIGROUP GLOBAL MARKETS INC.
February 3, 1971 - October 3, 1977
CIBC WORLD MARKETS CORP.
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 000
Date: 4/29/1969
General Securities Principal ExaminationSeries 1
Date: 4/29/1969
Registered Representative ExaminationCurrent Firm
DELPHOS MMJ L.P.
CRD#: 137389 / SEC#: , 8-67083
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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