Charles Sherwood Dodge is a registered financial professional at CARTA CAPITAL MARKETS, LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2018. Charles has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (1)
New York (1/20/2022)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CARTA CAPITAL MARKETS, LLC (#304751)
One World Trade Center 81st Floor, New York, NY, 10007
4/1/2021 - Current
PREVIOUS EMPLOYER (1)
STIFEL, NICOLAUS & COMPANY, INCORPORATED (#793)
12/3/2018 - 2/19/2021
New York, NY
Charles Sherwood Dodge
Experience: 4 years / 2 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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