Charles J. Stevens Jr.
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 J Stevens Jr., who also goes by Charles J Stevens Jr, Charles James Stevens Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2014 - December 31, 2017
ROCKFLEET FINANCIAL SERVICES, INC
May 1, 2012 - December 31, 2016
EVERGREEN FINANCIAL, LLC
April 27, 2009 - January 26, 2012
LPL FINANCIAL LLC
April 24, 2009 - January 26, 2012
LPL FINANCIAL LLC
July 1, 1999 - April 14, 2009
UBS FINANCIAL SERVICES INC.
January 31, 1980 - April 14, 2009
UBS FINANCIAL SERVICES INC.
August 11, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 16, 1973 - September 21, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 3/2/1983
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/12/1973
Registered Representative ExaminationSeries 8
Date: 5/6/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROCKFLEET FINANCIAL SERVICES, INC
CRD#: 149325 / SEC#: , 8-68139
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 450,000 |
Disclosures
| Regulatory 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.
