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CW

Charles K. Wang

SUSQUEHANNA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 7195983
CW

Professional summary

Charles Kai Wang, who also goes by Charles Wang, is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in New York, New York and SUSQUEHANNA FINANCIAL GROUP, LLLP located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2020. Charles has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 57TO and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Wang

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 Charles Kai Wang'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

March 2, 2020 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 30 Hudson Yards 16th Floor, New York, NY 10001
BD
CRD#: 35874
New York, NY
Current

October 16, 2020 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 30 Hudson Yards 16th Floor, New York, NY 10001
BD
CRD#: 35865
NEW YORK, NY
Current

December 15, 2020 - Present

SAL EQUITY TRADING, GP

Office #1: 401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122Office #2: 30 Hudson Yards 16th Floor, New York, NY 10001
BD
CRD#: 29337
Bala Cynwyd, PA

State Registrations and Notice Filings

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

RR
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

RR
New York
(10/10/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/10/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/10/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/2/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/17/2020
Securities Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 10/21/2023
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SE
SAL EQUITY TRADING, GP
BODEL, INC. | SUSQUEHANNA CAPITAL GROUP | SAL EQUITY TRADING, GP

CRD#: 29337 / SEC#: , 8-43174

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Avenue Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-3000
Established
Delaware since 01/02/1995
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAL EQUITY HOLDING, LLCGENRAL PARTNER
DANIELS, ETHAN SCOTTPOO5902179
GOLDBERG, ALAN BARRYCHIEF EXECUTIVE OFFICER2340315
JAMACA, MELISSAFINOP7478107
RORKE, BRIAN WALLACECHIEF COMPLIANCE OFFICER4475071
SAL EQUITY PARTNER, LLCGENRAL PARTNER

Disclosures

Regulatory Event16

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.

Company Information

SAL EQUITY TRADING, GP

CRD#: 29337New York, NY 10001

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