Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charleen? Claim Your ProfileCharleen Susan King is a financial advisor currently registered with HSBC Securities (USA) Inc. in New York, New York. Charleen has been in the financial services industry since 2004 and has a wide range of experience with various firms. Previously, Charleen was with Oppenheimer & Co. Inc. in New York, New York, Jefferies LLC in Los Angeles, California, ThinkEquity LLC in San Francisco, California, Wells Fargo Securities, LLC in San Francisco, California and Wells Fargo Investments, LLC in San Francisco, California. Charleen holds Series 7, 16, 24, 63 and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
05/16/2023 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
05/21/2019 - 04/03/2023
OPPENHEIMER & CO. INC. (NEW YORK NY)
CA
04/21/2006 - 06/06/2018
JEFFERIES LLC (LOS ANGELES CA)
CA
08/24/2007 - 11/05/2012
THINKEQUITY LLC (SAN FRANCISCO CA)
CA
05/14/2002 - 08/19/2005
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
01/07/2004 - 04/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BC
Issued 11/19/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2003
Series 24 - General Securities Principal Examination
BC
Issued 06/06/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2004
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 05/13/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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