CL
Charles Levy
GILDER GAGNON HOWE & CO. LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 5138037
CL
Professional summary
Charles Levy, who also goes by Charles Simon Levy, is a registered financial advisor currently at GILDER GAGNON HOWE & CO. LLC located in New York, New York.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Charles has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Simon Levy
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 name of the other business: Creekview Three, LLC whether the business is investment-related: No Charitable?: No the address of the other business: N/A the nature of the other business: Creekview Three is an LLC created to enter in an agreement with with European Wax Center (EWCZ) to open franchises. your position: Passive Investor; Board Member title, or relationship with the other business: Passive Investor; Board Member the start date of your relationship: 11/30/2023 the approximate number of hours/month you devote to the other business:3 the number of hours you devote to the other business during securities trading hours: 0 and briefly describe your duties relating to the other business: Investor. Board Member duties.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Levy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Levy'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 9, 2021 - Present
GILDER GAGNON HOWE & CO. LLC
Office #1: 475 Tenth Avenue 12th Floor, New York, NY 10018Office #2: 475 Tenth Avenue 12th Floor, New York, NY 10018-1120RIA
BD
CRD#: 2002
New York, NY
Current
May 21, 2021 - Present
GILDER GAGNON HOWE & CO. LLC
Office #1: 475 Tenth Avenue 12th Floor, New York, NY 10018-1120Office #2: 475 Tenth Avenue, New York, NY 10018RIA
BD
CRD#: 2002
New York, NY
Past
October 31, 2007 - August 7, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(4/12/2022)
RR
Connecticut(4/18/2022)
RR
Florida(2/14/2022)
RR
Illinois(9/18/2023)
RR
Michigan(11/18/2022)
RR
New Jersey(1/27/2023)
RR
New York(6/9/2021)
IAR
New York(6/9/2021)
RR
Pennsylvania(8/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
475 Tenth Avenue 12th Floor, New York, NY 10018-1120
Mailing Address
475 Tenth Avenue, New York, NY 10018
Phone number
(212) 765-2500
Established
New York since 01/04/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
88
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWE, DAVID STEWART | MANAGING MEMBER | 812707 |
| RIZAVI, SHAIZA MARIAM | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | 2874858 |
| ANDERSON, TRAVIS KNAPP | MANAGING MEMBER | 853424 |
| DEUTSCH, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 4565264 |
| MCCORMICK, MICHAEL PATRICK | MEMBER | 1857693 |
| ALI, SHAFQAT | CHIEF INFORMATION SECURITY OFFICER/MEMBER | 6009773 |
| ESPOSITO, LAURA MICHELE | CHIEF COMPLIANCE OFFICER | 6727167 |
| HUYNH, DAVID CO | CHIEF FINANCIAL OFFICER | 5443515 |
Regulatory assets under management
| Total Number of Accounts | 8,767 |
| AUM (Assets Under Management) | $ 11,604,602,601 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 09/20/2024 | ||
| 11/10/2023 | ||
| 12/15/2022 |
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.
