Charles S. Stoffers
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 Steven Stoffers was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 8 firms and has passed the Series 63, PC, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 1989 - January 25, 2001
LCP CAPITAL CORP.
September 3, 1986 - December 16, 1989
NEWHARD, COOK & CO. INCORPORATED
January 25, 1984 - October 30, 1985
SELIGMAN SECURITIES, INC.
January 27, 1982 - February 6, 1984
PRESCOTT, BALL & TURBEN, INC.
November 26, 1979 - February 5, 1982
FINANCIAL SQUARE PARTNERS
February 24, 1978 - November 30, 1979
MORGAN STANLEY DW INC.
September 13, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
September 1, 1976 - August 22, 1977
E. F. HUTTON & COMPANY 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
PC
Date: 8/21/1977
AMEX Put and Call ExamCurrent Firm
LCP CAPITAL CORP.
CRD#: 14469 / SEC#: , 8-44577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HANOVER LP | OWNER | |
| LMJG LP | OWNER | |
| WESTAR CAPITAL CORP | OWNER | |
| ALIOTTA, ANTHONY JOSEPH JR | BRANCH MANAGER/DIRECTOR | 2835162 |
| ARMITAGE, RONALD DAVID | COMPLIANCE OFFICER | 7228 |
| BRODY, KEVIN PATRICK | SALES MANAGER/DIRECTOR | 1912980 |
| CUTRONE, NICHOLAS ALEXANDER | ASSISTANT BRANCH MANAGER | 2692158 |
| MURRAY, DAVID MICHAEL | ASSISTANT BRANCH MANAGER | 1870050 |
| NEWMAN, IRA BERNARD | CFO | 1242346 |
| RICCA, GREGORY EMMANUEL | BRANCH MANAGER/DIRECTOR | 2080220 |
| STOFFERS, CHARLES STEVEN | PRESIDENT/CCO | 826603 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 31 |
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.
