Charles S. Laven
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 Slesinger Laven, who also goes by Charles S Laven, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2020. Charles had worked at 1 firm and has passed the Series 65 and Series 50 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2020 - December 31, 2020
FORSYTH STREET ASSET MANAGEMENT LLC
Primary Firm SEC Registration
FORSYTH STREET ASSET MANAGEMENT LLC
CRD#: 310545 / SEC#: 801-119447
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
FORSYTH STREET ASSET MANAGEMENT LLC
CRD#: 310545 / SEC#: 801-119447
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 240,981,058 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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