Charles Bronstein
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 Bronstein, who also goes by Charles Peter Bronstein, Charles Bronstein, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2022 - February 8, 2023
FINALIS SECURITIES LLC
June 22, 2021 - March 25, 2022
STONEHAVEN, LLC
February 1, 2017 - October 14, 2019
HIGHTOWER SECURITIES, LLC
September 24, 2013 - June 10, 2015
J.P. MORGAN SECURITIES LLC
February 5, 2007 - March 9, 2009
GE CAPITAL MARKETS, INC.
June 28, 2004 - February 10, 2006
GOLDMAN SACHS & CO. LLC
December 4, 2000 - May 28, 2004
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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