Charles O. Svenson
Professional summary
Charles Oscar Svenson is a registered financial professional currently at BROCK SECURITIES LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1973. Charles has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Oscar Svenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2003 - Present
BROCK SECURITIES LLC
Office #1: 505 Park Ave 14th Floor, New York, NY 10022Office #2: 505 Park Ave 14th Floor, New York, NY 10022March 10, 1978 - August 16, 2000
PERSHING LLC
February 24, 1978 - March 10, 1978
June 29, 1976 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
August 8, 1973 - March 27, 1975
GOLDMAN SACHS & CO. 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
(6/10/2004)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 8/6/1973
Registered Representative ExaminationSeries 40
Date: 6/3/1974
Registered Principal ExaminationFINRA
Current Firm
BROCK SECURITIES LLC
CRD#: 122156 / SEC#: , 8-65467
Contact information
FINRA licenses (4 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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