CM
Charles M. Mixon
SWISS RE CAPITAL MARKETS
New York, NY 10019
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CRD#: 4723181
CM
Professional summary
Charles Mcrae Mixon III, who also goes by Charles Mcrae Mixon, is a registered financial professional currently at SWISS RE CAPITAL MARKETS CORPORATION located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2003. Charles has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles Mcrae Mixon
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Mcrae Mixon III's 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®
NoneExperience
Current
June 7, 2024 - Present
SWISS RE CAPITAL MARKETS CORPORATION
Office #1: 1301 Avenue Of The Americas, New York, NY 10019BD
CRD#: 39978
New York, NY
Past
February 16, 2022 - April 9, 2024
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
NEW YORK, NY
Past
June 10, 2019 - December 31, 2020
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
April 11, 2019 - December 31, 2020
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
November 27, 2003 - May 2, 2005
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
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
Alabama(6/7/2024)
RR
Alaska(6/7/2024)
RR
Arizona(6/7/2024)
RR
Arkansas(6/7/2024)
RR
California(6/7/2024)
RR
Colorado(6/7/2024)
RR
Connecticut(6/7/2024)
RR
Delaware(6/7/2024)
RR
District of Columbia(6/7/2024)
RR
Florida(6/7/2024)
RR
Georgia(6/7/2024)
RR
Hawaii(6/7/2024)
RR
Idaho(6/7/2024)
RR
Illinois(6/7/2024)
RR
Indiana(6/7/2024)
RR
Iowa(6/7/2024)
RR
Kansas(6/7/2024)
RR
Kentucky(6/7/2024)
RR
Louisiana(6/7/2024)
RR
Maine(6/7/2024)
RR
Maryland(6/7/2024)
RR
Massachusetts(6/7/2024)
RR
Michigan(6/7/2024)
RR
Minnesota(6/7/2024)
RR
Mississippi(6/7/2024)
RR
Missouri(6/7/2024)
RR
Montana(6/7/2024)
RR
Nevada(6/7/2024)
RR
New Hampshire(6/7/2024)
RR
New Jersey(6/7/2024)
RR
New Mexico(6/7/2024)
RR
New York(6/7/2024)
RR
North Carolina(6/7/2024)
RR
North Dakota(6/7/2024)
RR
Ohio(6/7/2024)
RR
Oklahoma(6/7/2024)
RR
Oregon(6/7/2024)
RR
Pennsylvania(6/7/2024)
RR
Puerto Rico(6/7/2024)
RR
Rhode Island(6/7/2024)
RR
South Carolina(6/7/2024)
RR
South Dakota(6/7/2024)
RR
Tennessee(6/7/2024)
RR
Texas(6/7/2024)
RR
Utah(6/7/2024)
RR
Vermont(6/7/2024)
RR
Virginia(6/7/2024)
RR
Washington(6/7/2024)
RR
West Virginia(6/7/2024)
RR
Wisconsin(6/7/2024)
RR
Wyoming(6/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SR
SWISS RE CAPITAL MARKETS CORPORATION
SWISS RE CAPITAL MARKETS CORPORATION
CRD#: 39978 / SEC#: , 8-48914
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas 43rd Floor, New York, NY 10019
Phone number
(212) 317-5400
Established
Delaware since 10/17/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWISS RE AMERICA HOLDING CORPORATION | DIRECT OWNER | |
| CHIN, JIAWEI MS | LEGAL COUNSEL | 7948579 |
| CHODKOWSKI, ADAM | DIRECTOR AND CORPORATE SECRETARY | |
| KERENYI, ATTILA FLAVIO | DIRECTOR | 7264806 |
| KIELY, JAMES F | CHIEF COMPLIANCE OFFICER | 2457647 |
| MANTEUFEL, MATTHEW THOMAS | CHIEF FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 7684713 |
| MONNIER, JEAN-LOUIS MARIE MARCEL | CHIEF EXECUTIVE OFFICER | 7074379 |
| PELECKIS, ANTHONY J III | CHIEF RISK OFFICER | 7564033 |
| TOPCUOGLU, SIVEZAT LALE | DIRECTOR | 3265843 |
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.
