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CP

Charles S. Patrick

FORGE SECURITIES
NEW YORK, NY 10012
Some features on this profile are disabled
CRD#: 4491463
CP
Charles Stephan PatrickFORGE SECURITIES

Professional summary

Charles Stephan Patrick, who also goes by Charles S Patrick III, Charles S Patrick, Charles Stephan Patrick III, Charles Stephen Patrick, is a registered financial professional currently at FORGE SECURITIES LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 31 and Series 7 exams.

Aliases

Charles S Patrick Iii | Charles S Patrick | Charles Stephan Patrick Iii | Charles Stephen Patrick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Stephan Patrick's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 22, 2026 - Present

FORGE SECURITIES LLC

Office #1: 114 Crosby Street Floor 5, New York, NY 10012
BD
CRD#: 134596
NEW YORK, NY
Past

September 9, 2021 - December 11, 2023

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
New York, NY
Past

November 27, 2007 - September 20, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

November 27, 2007 - September 20, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 12, 2004 - December 31, 2005

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, CA
Past

August 12, 2004 - December 31, 2005

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
OAKLAND, CA
Past

June 14, 2002 - August 13, 2002

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
SAN FRANCISCO, CA
Past

April 3, 2002 - August 13, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(9/22/2026)
RR
District of Columbia
(9/22/2026)
RR
Florida
(9/22/2026)
RR
Illinois
(9/22/2026)
RR
Indiana
(9/22/2026)
RR
Kentucky
(9/22/2026)
RR
Louisiana
(9/22/2026)
RR
Maryland
(9/23/2026)
RR
Michigan
(9/22/2026)
RR
Minnesota
(9/22/2026)
RR
Mississippi
(9/22/2026)
RR
Montana
(9/22/2026)
RR
Nebraska
(9/22/2026)
RR
New Jersey
(9/22/2026)
RR
Ohio
(9/22/2026)
RR
Oklahoma
(9/22/2026)
RR
South Carolina
(9/22/2026)
RR
South Dakota
(9/22/2026)
RR
Tennessee
(9/22/2026)
RR
Texas
(9/22/2026)
RR
Vermont
(9/22/2026)
RR
Washington
(9/22/2026)
RR
Wisconsin
(9/22/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
PR
Series 66
Status Unavailable
Passed: 6/8/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Status Unavailable
Passed: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Status Unavailable
Passed: 8/5/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 4/1/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES

CRD#: 134596 / SEC#: , 8-66846

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORGE FINANCIAL HOLDING INCOWNER
FLAVIANI, SANDRA STEPHANIEPFO2831682
GRIMES, WILLIAM CHARLESPRESIDENT & EVP, HEAD OF GLOBAL CAPITAL MARKETS5909538
MCGRATH, SHILPICHIEF COMPLIANCE OFFICER5126346
PRICE, JEVON TPOO2948372

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.

Company Information

FORGE SECURITIES LLC

CRD#: 134596New York, NY 10012

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