Charles L. Bloom
Professional summary
Charles Lewis Bloom was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Charles had worked at 6 firms, which includes CHELSEA FINANCIAL SERVICES, INTERNATIONAL ASSETS ADVISORY LLC, IAA FINANCIAL LLC, U.S. BROKERAGE INC., 1ST DISCOUNT BROKERAGE INC., ACUMENT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - July 5, 2018
CHELSEA FINANCIAL SERVICES
January 2, 2015 - December 31, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
April 30, 2014 - January 13, 2015
IAA FINANCIAL LLC
January 22, 2007 - February 10, 2014
U.S. BROKERAGE, INC.
October 15, 2002 - December 14, 2006
1ST DISCOUNT BROKERAGE, INC.
August 21, 2002 - August 30, 2002
1ST DISCOUNT BROKERAGE, INC.
March 17, 2000 - August 21, 2002
ACUMENT SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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