Carl T. Chaleff
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.
Carl Thomas Chaleff was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1973. Carl had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2008 - January 28, 2009
INTEROCEAN SECURITIES LLC
May 10, 2006 - January 28, 2009
INTEROCEAN WEALTH MANAGEMENT LLC
February 28, 2006 - May 10, 2006
SECURITRADE CORPORATION
July 20, 2005 - January 12, 2006
SALOMON GREY FINANCIAL CORPORATION
April 15, 2003 - March 2, 2005
OPPENHEIMER ASSET MANAGEMENT
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - February 7, 2005
OPPENHEIMER & CO. INC.
August 27, 1996 - January 3, 2003
CIBC WORLD MARKETS CORP.
July 19, 1988 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 8, 1981 - July 13, 1988
J.P. MORGAN SECURITIES LLC
June 1, 1976 - September 15, 1981
CIBC WORLD MARKETS CORP.
March 12, 1973 - June 27, 1976
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 15
Date: 10/19/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/21/1981
Interest Rate Options ExaminationPC
Date: 6/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/7/1973
Registered Representative ExaminationSeries 12
Date: 1/16/1982
NYSE Branch Manager ExaminationCurrent Firm
INTEROCEAN SECURITIES LLC
CRD#: 141077 / SEC#: , 8-67362
Contact information
Documents
Direct owners and executive officers
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.
