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JC

Joseph L. Charland

STATE STREET GLOBAL MARKETS
JERSEY CITY , NJ 07310
Some features on this profile are disabled
CRD#: 5183891
JC

Professional summary

Joseph Leonard Charland, who also goes by Joseph Charland, is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Jersey City , New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Charland

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Charland'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®
None

Experience

Current

August 11, 2023 - Present

STATE STREET GLOBAL MARKETS, LLC

Office #1: 111 Town Square Place, Jersey City , NJ 07310
BD
CRD#: 285852
JERSEY CITY , NJ
Past

June 5, 2007 - May 3, 2023

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
NEW YORK, NY
Past

June 5, 2007 - May 3, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

August 15, 2006 - March 13, 2007

NEW ENGLAND SECURITIES

BD
CRD#: 615
MINNETONKA, MN

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
Massachusetts
(8/11/2023)
RR
New Jersey
(8/11/2023)
RR
New York
(8/11/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC

CRD#: 285852 / SEC#: , 8-69862

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET CORPORATIONPARENT COMPANY
BAMBINO, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER4237874
CHARLAND, JOSEPH LEONARDDIRECTOR5183891
FORTUNA, GREGORY PAULDIRECTOR3168105
MARZILIANO, MICHAELPRINCIPAL OPERATIONS OFFICER1527133
MAXHAM, DAVID GOULDDIRECTOR6372664
MCKEON, ROBERT ADIRECTOR7638847
MORGAN, DANIEL ROBERTCHIEF EXECUTIVE OFFICER2743457
SIGLAIN, TARYN ANNDIRECTOR5163466
SOR, LYDIRECTOR7996223
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280

Disclosures

Regulatory Event4

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.

Company Information

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852Jersey City , NJ 07310

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