Charles M. Fisher
Professional summary
Charles Munk Fisher, who also goes by Charles M Fisher, is a registered financial professional currently at TRIAD SECURITIES CORP located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1980. Charles has worked at 8 firms and has passed the Series 63, Series 72, SIE, Series 5, Series 7, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Munk Fisher's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2017 - Present
TRIAD SECURITIES CORP
Office #1: 111 Broadway 11th Floor, New York, NY, 10006March 7, 2013 - October 16, 2017
COWEN PRIME SERVICES LLC
March 14, 2005 - March 8, 2013
GRACE FINANCIAL GROUP LLC
April 14, 2003 - March 7, 2005
TRIAD SECURITIES CORP
March 25, 2002 - April 8, 2003
HAPOALIM SECURITIES USA, INC.
September 19, 2000 - April 1, 2002
JEFFERIES LLC
September 17, 1990 - September 12, 2000
NEUBERGER BERMAN BD LLC
March 3, 1989 - September 12, 1990
J.P. MORGAN SECURITIES LLC
December 22, 1980 - March 14, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2020)
(4/8/2021)
(12/10/2018)
(12/7/2017)
(5/27/2020)
(12/7/2017)
(12/11/2018)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 12
Date: 7/18/1981
NYSE Branch Manager ExaminationFINRA
Current Firm
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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