CS
Charles Y. Sun
BDT & MSD PARTNERS
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 7506435
CS
Professional summary
Charles Yu Sun is a registered financial professional currently at BDT & MSD PARTNERS, LLC located in Santa Monica, California.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2022. Charles has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Yu Sun'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®
NoneExperience
Current
July 8, 2022 - Present
BDT & MSD PARTNERS, LLC
Office #1: 100 Wilshire Boulevard Suite 1000, Santa Monica, CA 90401BD
CRD#: 150459
Santa Monica, CA
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
Alabama(5/19/2023)
RR
Alaska(5/19/2023)
RR
Arizona(5/19/2023)
RR
Arkansas(5/19/2023)
RR
California(5/19/2023)
RR
Colorado(2/27/2023)
RR
Connecticut(5/19/2023)
RR
Delaware(5/19/2023)
RR
District of Columbia(2/27/2023)
RR
Florida(2/27/2023)
RR
Georgia(5/19/2023)
RR
Hawaii(5/19/2023)
RR
Idaho(5/19/2023)
RR
Illinois(5/19/2023)
RR
Indiana(5/19/2023)
RR
Iowa(5/19/2023)
RR
Kansas(5/19/2023)
RR
Kentucky(5/19/2023)
RR
Louisiana(2/27/2023)
RR
Maine(5/19/2023)
RR
Maryland(2/27/2023)
RR
Massachusetts(5/19/2023)
RR
Michigan(5/19/2023)
RR
Minnesota(5/19/2023)
RR
Mississippi(5/19/2023)
RR
Missouri(5/19/2023)
RR
Montana(5/19/2023)
RR
Nebraska(5/19/2023)
RR
Nevada(5/19/2023)
RR
New Hampshire(5/19/2023)
RR
New Jersey(5/19/2023)
RR
New Mexico(5/19/2023)
RR
New York(5/19/2023)
RR
North Carolina(5/19/2023)
RR
North Dakota(5/19/2023)
RR
Ohio(5/20/2023)
RR
Oklahoma(5/19/2023)
RR
Oregon(5/19/2023)
RR
Pennsylvania(5/19/2023)
RR
Rhode Island(5/19/2023)
RR
South Carolina(5/19/2023)
RR
South Dakota(5/19/2023)
RR
Tennessee(5/19/2023)
RR
Texas(5/19/2023)
RR
Utah(5/19/2023)
RR
Vermont(5/19/2023)
RR
Virginia(5/19/2023)
RR
Washington(5/19/2023)
RR
West Virginia(5/19/2023)
RR
Wisconsin(5/19/2023)
RR
Wyoming(5/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 7/8/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
B&
BDT & MSD PARTNERS, LLC
BDT & COMPANY, LLC | BDT & MSD PARTNERS, LLC
CRD#: 150459 / SEC#: , 8-68263
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
401 N. Michigan Ave. Suite 3100, Chicago, IL 60611-4250
Mailing Address
401 N. Michigan Ave. Suite 3100, Chicago, IL 60611-4250
Phone number
(312) 660-7300
Established
Delaware since 04/30/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BDT & MSD HOLDINGS, L.P. | SOLE MEMBER | |
| BURNS, MICHAEL EDWIN | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2817817 |
| FEINGOLD, CHAD MORGAN | CHIEF OPERATING OFFICER | 4564290 |
| JESTER, DAN HAMILL | PRESIDENT | 2088996 |
| LEMKAU, GREGG ROBERT | CO-CHIEF EXECUTIVE OFFICER | 2529069 |
| MATHEWS, ERIKA LYNN | VICE PRESIDENT | 6230510 |
| MICHEL, CINDY ZEE | VICE PRESIDENT AND GLOBAL CHIEF COMPLIANCE OFFICER | 4661808 |
| ORR, SAN WATTERSON III | PRESIDENT | 2931458 |
| TODD, MARY ANN | CHIEF LEGAL OFFICER AND SECRETARY | 6910167 |
| TROTT, BYRON DAVID | CO-CHIEF EXECUTIVE OFFICER | 1082133 |
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.
