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CD

Charles L. Davis

QUILVEST CAPITAL PARTNERS SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4049175
CD

Professional summary

Charles Lawrence Davis is a registered financial professional currently at QUILVEST CAPITAL PARTNERS SECURITIES LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Lawrence Davis'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

March 6, 2018 - Present

QUILVEST CAPITAL PARTNERS SECURITIES LLC

Office #1: 527 Madison Avenue 11th Floor, New York, NY, 10022Office #2: 65 East 55th Street 25th Floor, New York, NY, 10022
BD
CRD#: 286380
New York, NY
Past

July 19, 2001 - June 15, 2004

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 2, 2000 - August 18, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
Arizona
(4/23/2018)
RR
Arkansas
(5/2/2018)
RR
California
(4/13/2018)
RR
Connecticut
(3/12/2021)
RR
Florida
(5/17/2018)
RR
Illinois
(5/14/2018)
RR
Massachusetts
(5/24/2018)
RR
Missouri
(5/2/2018)
RR
New Jersey
(5/18/2018)
RR
New York
(4/4/2018)
RR
Oklahoma
(4/20/2018)
RR
Pennsylvania
(4/20/2018)
RR
South Dakota
(4/13/2018)
RR
Texas
(5/17/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

QC
QUILVEST CAPITAL PARTNERS SECURITIES LLC
QUILVEST CAPITAL PARTNERS SECURITIES LLC | QUILVEST SECURITIES LLC

CRD#: 286380 / SEC#: , 8-69883

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

Main Address
65 East 55th Street 25th Floor, New York, NY, 10022
Mailing Address
65 East 55th Street 25th Floor, New York, NY, 10022
Phone number
(212) 920-3800
Established
Delaware since 10/13/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
QUILVEST & PARTNERS USA LLCSHAREHOLDER
FISCHER, MANUEL AUGUSTE ADRIENCHIEF COMPLIANCE OFFICER6478655
JOHN, FINLEYPRIMARY PRINCIPAL5126456
STOVER, MATTHEW GRAHAMFINANCIAL & OPERATIONS PRINCIPAL (FINOP)5266972

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

QUILVEST CAPITAL PARTNERS SECURITIES LLC

CRD#: 286380New York, NY 10022

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