Charles W. Kusche
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 William Kusche III, who also goes by Charles William Kusche, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 5 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1993 - March 28, 1994
FAB SECURITIES OF AMERICA, INC.
April 12, 1991 - March 20, 1993
LAIDLAW GLOBAL SECURITIES, INC.
September 8, 1989 - March 21, 1991
LEHMAN BROTHERS INC.
June 1, 1989 - August 4, 1989
UBS FINANCIAL SERVICES INC.
June 8, 1987 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 23, 1981 - June 23, 1987
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
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 8
Date: 5/17/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FAB SECURITIES OF AMERICA, INC.
CRD#: 28212 / SEC#: , 8-41925
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAB CAPITAL CORPORATION | ACQUIRING SOLE SHAREHOLDER | |
| SCHNEIDER, ROBERT ANDREW | SELLING MAJORITY SHAREHOLDER | 2128754 |
| SCHNEIDER, ROBERT ANDREW | RESIGNED CHAIRMAN AND PRESIDENT | 2128754 |
| HEILPERN, GERALD MARTIN | ACTING/INTERIM CHIEF OPERATING OFFICER | 241803 |
| HEILPERN, GERALD MARTIN | CHIEF OPERATING OFFICER AND DIRECTOR | 241803 |
| HEILPERN, GERALD MARTIN | RESIGNED CHIEF OPERATING OFFICER AND RESIGNED DIRECTOR | 241803 |
| MOLDTORRES, JULIA ANTIGONE | RESIGNED CHIEF FINANCIAL OFFICER (PRINCIPAL) | 2155228 |
| PARSONS, DAVID WAYNE | CHIEF LEGAL OFFICER | 2963654 |
| SCHNEIDER, SUE ELLEN | SELLING MINORITY SHAREHOLDER | |
| SCHULMAN, FREDRICK | RESIGNED CHIEF LEGAL OFFICER | 2834936 |
| STRAUSBERG, RANDY MARSHALL | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | 818732 |
| STRAUSBERG, RANDY MARSHALL | CHIEF FINANCIAL OFFICER (PRINCIPAL) | 818732 |
| STRAUSBERG, RANDY MARSHALL | ACTING/INTERIM CHIEF EXECUTIVE OFFICER | 818732 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
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.
