Charles R. Dreifus
Professional summary
Charles Robert Dreifus is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1969. Charles has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 16, Series 41, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Robert Dreifus's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 1998 - Present
ROYCE FUND SERVICES, LLC
Office #1: One Madison Avenue 17th Floor, New York, NY 10010Office #2: One Madison Avenue 17th Floor, New York, NY 10010February 7, 1983 - January 29, 1998
LAZARD FRERES & CO. LLC
October 1, 1969 - November 17, 1982
CIBC WORLD MARKETS CORP.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 5/21/1983
NYSE Allied Member ExaminationSeries 1
Date: 9/29/1969
Registered Representative ExaminationFINRA
Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
Red Flags
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