Individual Firm
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CHARLES M PALMA
CHARLES MICHAEL PALMA
CRD#: 2562930
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 225 BROADHOLLOW ROAD
SUITE 105
MELVILLE, NY 11747
SUITE 105
MELVILLE, NY 11747
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2/2/2011
Employment Separation After Allegations
4/28/2010
Customer Dispute
Denied
State Registrations
B
Arizona 8/18/2022
B
Missouri 6/16/2016
IA
Arizona 8/18/2022
B
New Hampshire 10/28/2020
B
Connecticut 5/5/2015
IA
New Hampshire 10/28/2020
IA
Connecticut 5/20/2015
B
New Jersey 9/20/2011
B
District of Columbia 6/7/2024
IA
New Jersey 7/21/2022
B
Florida 10/29/2020
B
New York 8/16/2011
IA
Florida 10/29/2020
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New York 4/16/2021
B
Georgia 6/8/2021
B
Pennsylvania 10/20/2022
B
Kansas 10/19/2022
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South Carolina 6/30/2020
B
Massachusetts 8/21/2024
B
Tennessee 5/27/2021
IA
Massachusetts 8/28/2024
B
Texas 10/19/2022
B
Michigan 5/14/2021
IA
Texas 1/20/2025
IA
Michigan 5/17/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/20/2015
B
Registered with this firm since 8/16/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/09/2000 - 02/18/2011 | HAUPPAUGE, NY | |
B | 06/09/2000 - 07/09/2007 | MELVILLE, NY | |
B | 01/03/1995 - 06/08/2000 | MILWAUKEE, WI | |
B | 01/03/1995 - 06/08/2000 | MILWAUKEE, WI |
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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.
IA
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.