Charles Ingersoll
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 Ingersoll was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2003. Charles had worked at 2 firms and has passed the Series 7 and Series 45 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2005 - March 6, 2013
CITIGROUP DERIVATIVES MARKETS INC.
December 10, 2004 - March 31, 2005
CITIGROUP DERIVATIVES MARKETS INC.
September 15, 2003 - December 10, 2004
KNIGHT FINANCIAL PRODUCTS 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 45
Date: 4/8/2005
PCX Floor Broker ExamCurrent Firm
CITIGROUP DERIVATIVES MARKETS INC.
CRD#: 133084 / SEC#: , 8-66679
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | DIRECT OWNER | |
| HALDANE, DAVID GEOFFREY | DIRECTOR | 5325475 |
| KELTZ, STEVEN JAY MR. | GENERAL COUNSEL | |
| MOGILEVSKY, CHARLES ROBERT | DIRECTOR | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | PRESIDENT | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF OPERATIONS OFFICER / POO | 1712540 |
| SALIBA, RAMSEY | CHIEF FINANCIAL OFFICER / FINOP / PFO | 5358958 |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
| WINCHESTER, J SLADE | DIRECTOR | 1762956 |
Disclosures
| Regulatory Event | 20 |
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.
