Charles C. Reardon
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 Conrad Reardon was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - June 24, 2022
CHESSIECAP SECURITIES, INC.
August 25, 2011 - November 18, 2011
CARL MARKS SECURITIES LLC
June 30, 2009 - August 4, 2011
CARL MARKS SECURITIES LLC
October 2, 2002 - May 27, 2009
HOULIHAN LOKEY CAPITAL, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CHESSIECAP SECURITIES, INC.
CRD#: 132153 / SEC#: , 8-66565
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHESSIECAP, INC. | OWNER | |
| SCHMIDT, DOUGLAS MORTON | PRESIDENT/CEO/EXECUTIVE REPRESENTATIVE/CCO/AMLCO/FINOP | 1860723 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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