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CHARLES COOK SCHROEDER
CRD#: 2294621
IA
B
M HOLDINGS SECURITIES, INC.CRD#: 43285 266 MAIN STREET
MADISON, NJ 07940
MADISON, NJ 07940
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
California 2/23/2023
B
New Jersey 4/16/2020
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California 2/24/2023
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New Jersey 8/17/2020
B
Colorado 1/17/2025
B
New York 2/23/2023
IA
Colorado 1/21/2025
IA
New York 2/23/2023
B
Connecticut 2/23/2023
B
Pennsylvania 2/23/2023
IA
Connecticut 2/24/2023
IA
Pennsylvania 2/24/2023
B
Florida 2/23/2023
IA
Rhode Island 2/7/2025
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Florida 2/24/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 8/17/2020
B
Registered with this firm since 4/16/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/18/2015 - 10/23/2019 | NEW YORK, NY | |
B | 10/02/2007 - 03/13/2015 | NEW YORK, NY | |
B | 11/12/2003 - 06/11/2007 | NEW YORK, NY | |
B | 05/15/1995 - 12/31/2002 | NEW YORK, NY | |
B | 01/20/1993 - 05/17/1995 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.