AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CW

Charles D. Warner

Some features on this profile are disabled
CRD#: 818908
CW

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 Doe Warner III, who also goes by Charles Doe Warner, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Doe Warner

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 17, 2008 - January 27, 2014

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

November 22, 2005 - March 20, 2007

VIRTU ITG LLC

BD
CRD#: 29299
NEW YORK, NY
Past

November 1, 1994 - October 17, 2005

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

March 8, 1993 - December 6, 1993

CREDIT AGRICOLE SECURITIES INC.

BD
CRD#: 24051
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/25/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/15/2001
General Securities Principal Examination

Current Firm

CE
COWEN EXECUTION SERVICES LLC
BNY BROKERAGE INC. | ESI SECURITIES COMPANY | COWEN EXECUTION SERVICES LLC | CONVERGEX EXECUTION SOLUTIONS LLC | BNY ESI & CO., INC. | BNY CONVERGEX EXECUTION SOLUTIONS LLC | BNY BROKERAGE LLC

CRD#: 35693 / SEC#: 801-67167, 8-46838

BD
Terminated by SEC on 07/03/2020
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CONVERGEX EXECUTION SOLUTIONS LLC (4/1/2013)

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCOMEMBER
CHARNEY, DANIEL S.CHIEF EXECUTIVE OFFICER2158255
EADS, MARK BREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP2942874
HOLMES, JOHNPRINCIPAL OPERATIONS OFFICER1281617
KAPLAN, GARY MITCHELLMUNICIPAL PRINCIPAL
LUPKIN, IRA ADAMPRINCIPAL FINANCIAL OFFICER4463446
MESSINGER, LINDA LOUISECHIEF COMPLIANCE OFFICER2561401

Disclosures

Regulatory Event29

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

COWEN EXECUTION SERVICES LLC

CRD#: 35693

TRUST BUT VERIFY

Monitor Charles Warner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics