Joseph L. Charland

STATE STREET GLOBAL MARKETS

Boston, MA 02114-2016

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CRD#: 5183891

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 Boston, Massachusetts.

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"?

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: One Congress Street, Suite 1, Boston, MA 02114-2016

CRD#: 285852

Boston, MA

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

CRD#: 31194

NEW YORK, NY

Past

August 15, 2006 - March 13, 2007

NEW ENGLAND SECURITIES

CRD#: 615

MINNETONKA, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(8/11/2023)

New Jersey
(8/11/2023)

New York
(8/11/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2011

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

STATE STREET GLOBAL MARKETS, LLC

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

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

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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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)

Documents

Direct owners and executive officers

Name	Position	CRD#
STATE STREET CORPORATION	PARENT COMPANY
BAMBINO, JOHN JOSEPH	CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER	4237874
CHARLAND, JOSEPH LEONARD	DIRECTOR	5183891
FISCHER, MARTIN ROBERT	CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER	1692872
FORTUNA, GREGORY PAUL	DIRECTOR	3168105
MAXHAM, DAVID GOULD	DIRECTOR	6372664
MCKEON, ROBERT A	DIRECTOR	7638847
MORGAN, DANIEL ROBERT	CHIEF EXECUTIVE OFFICER	2743457
SIGLAIN, TARYN ANN	DIRECTOR	5163466
SOR, LY	DIRECTOR	7996223
TRABUCCO, MARK RUSSELL	CHIEF COMPLIANCE OFFICER	4856280

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Joseph L. Charland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leonard Charland's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2006

Series 24

Date: 5/25/2011

FINRA

NYSE American LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STATE STREET GLOBAL MARKETS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE STREET GLOBAL MARKETS, LLC

TRUST BUT VERIFY

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