Charles A. Vernau
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 Andrew Vernau, who also goes by Charles A Vernau, Chuck Vernau, 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, Series 55 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
July 24, 2013 - August 31, 2016
VIRTU AMERICAS LLC
March 24, 2010 - December 7, 2011
MF GLOBAL INC.
May 13, 2008 - March 12, 2010
LABRANCHE FINANCIAL SERVICES, LLC
July 16, 2007 - February 22, 2008
J.P. MORGAN SECURITIES INC.
April 16, 2007 - June 20, 2007
MORGAN STANLEY & CO. LLC
September 17, 2002 - June 30, 2006
BANC OF AMERICA SECURITIES LLC
July 11, 2000 - September 23, 2002
LEHMAN BROTHERS INC.
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 55
Date: 5/18/2002
Limited Representative-Equity Trader ExamCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
