Charles J. Gonsalves
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 J Gonsalves, who also goes by Charles J Gonsalves, Charles John Gonsalves, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2013. Charles had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2020 - March 22, 2021
HAZARD & SIEGEL, INC.
January 9, 2018 - January 24, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 19, 2016 - November 9, 2016
J.P. MORGAN SECURITIES LLC
September 26, 2014 - November 6, 2015
MSI FINANCIAL SERVICES, INC.
April 19, 2013 - February 6, 2014
NYLIFE SECURITIES 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
Current Firm
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
