Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlene? Claim Your ProfileCharlene Lafrades Rodriguez is a financial advisor registered with Stifel, Nicolaus & Company, Inc. Charlene is a seasoned professional with over 20 years of experience in the industry. Charlene focuses on providing financial planning and portfolio management services to a wide range of clients, including individuals, families, businesses, and institutions. Charlene has a broad range of experience and holds several industry designations, making Charlene a valuable resource for clients seeking financial guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/30/2011 - Present
Stifel, Nicolaus & Company, Inc. (WALNUT CREEK CA)
CA
03/04/2003 - 09/30/2011
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
CA
09/04/2002 - 02/19/2003
CROCKER SECURITIES LLC (WALNUT CREEK CA)
CA
02/27/2001 - 09/04/2002
IBIS SECURITIES, LLC (WALNUT CREEK CA)
NJ
06/29/1999 - 07/29/1999
R.W. SMITH & ASSOCIATES, INC. (JERSEY CITY NJ)
BC
Issued 11/04/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/02/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/28/1999
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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