Charles N. Liberman
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 N. Liberman, who also goes by Charles Neil Liberman, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 21 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 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
April 20, 2011 - December 1, 2015
MUTUAL OF AMERICA SECURITIES LLC
April 20, 2011 - December 1, 2015
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
September 10, 2009 - July 28, 2010
QUESTAR ASSET MANAGEMENT, INC.
July 22, 2009 - July 28, 2010
QUESTAR CAPITAL CORPORATION
October 14, 2004 - July 29, 2009
WALNUT STREET SECURITIES, INC.
October 13, 2004 - July 29, 2009
WALNUT STREET SECURITIES, INC.
August 26, 2004 - October 29, 2004
OSAIC WEALTH, INC.
July 6, 2001 - October 21, 2004
HIGH MARK SECURITIES, INC.
October 22, 1998 - September 8, 1999
JOSEPH CHARLES & ASSOC., INC.
January 7, 1997 - October 14, 1998
INVESTORS CAPITAL CORP.
October 31, 1994 - April 25, 1995
PREFERRED SECURITIES GROUP, INC.
August 25, 1993 - October 20, 1994
SUNAMERICA SECURITIES, INC.
June 21, 1993 - August 2, 1993
G.R. STUART & COMPANY, INC.
March 31, 1992 - June 21, 1993
MUTUAL SERVICE CORPORATION
January 5, 1990 - January 9, 1991
LEHMAN BROTHERS INC.
February 26, 1986 - January 10, 1990
CNL FINANCIAL SERVICES, INC.
April 23, 1985 - July 3, 1985
ROBERT THOMAS SECURITIES, INC
September 5, 1984 - April 8, 1985
CRALIN & CO., INC.
January 30, 1984 - August 7, 1984
M.L. STERN & CO., LLC.
September 20, 1982 - November 4, 1983
CIBC WORLD MARKETS CORP.
July 27, 1981 - November 19, 1982
MORGAN STANLEY DW INC.
June 21, 1979 - July 15, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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