Charles J. Herrick
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 Jonathan Herrick, who also goes by Jon Herrick, Jonathan Herrick, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2022 - September 3, 2026
ARCHIPELAGO SECURITIES L.L.C.
December 23, 2019 - November 12, 2020
ARCHIPELAGO SECURITIES L.L.C.
April 24, 2018 - July 23, 2018
HRT FINANCIAL LP
November 10, 2015 - July 23, 2018
HRT EXECUTION SERVICES LLC
July 22, 2013 - August 17, 2015
VIRTU AMERICAS LLC
December 12, 2012 - May 6, 2013
GETCO SECURITIES, LLC
March 8, 2010 - April 15, 2011
GETCO SECURITIES, LLC
February 4, 2008 - June 11, 2014
GETCO EXECUTION SERVICES LLC
September 27, 2006 - June 17, 2008
OCTEG, LLC
September 22, 2005 - August 21, 2006
CANTOR FITZGERALD & CO.
May 12, 2004 - November 22, 2004
KNIGHT CAPITAL AMERICAS, L.P.
May 2, 2002 - March 10, 2004
BLOOMBERG TRADEBOOK 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/28/2007
Limited Representative-Equity Trader ExamCurrent Firm
ARCHIPELAGO SECURITIES L.L.C.
CRD#: 102500 / SEC#: , 8-52140
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
