Charles L. Rose
Professional summary
Charles L. Rose is a registered financial professional currently at TD SECURITIES (USA) 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 4 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles L. Rose's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2011 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017March 7, 2003 - June 10, 2011
BARCLAYS CAPITAL INC.
January 27, 2003 - March 13, 2003
PERSHING LLC
July 3, 2002 - January 31, 2003
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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