Charles R. Purse
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 Roe Purse was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2000. Charles had worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2016 - November 10, 2021
SHELTER ROCK CAPITAL GROUP LLC
December 20, 2013 - July 11, 2014
PARK HILL GROUP LLC
June 1, 2006 - December 31, 2013
PARK HILL REAL ESTATE GROUP LLC
October 10, 2005 - June 1, 2006
BLACKSTONE SECURITIES PARTNERS L.P.
November 3, 2000 - September 28, 2005
CREDIT SUISSE SECURITIES (USA) LLC
September 19, 2000 - September 27, 2002
PERSHING LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/18/2022
General Securities Representative ExaminationSeries 79TO
Date: 10/18/2022
Investment Banking Registered Representative ExaminationCurrent Firm
SHELTER ROCK CAPITAL GROUP LLC
CRD#: 156753 / SEC#: , 8-68818
Contact information
FINRA licenses (47 States and Territories)
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.
