Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Alan Chambers is a financial advisor with over 30 years of experience in the financial services industry. Charles is currently registered with Osaic Institutions, Inc., and is a Registered Representative in both North Carolina and Virginia. Prior to joining Osaic, Charles has held positions at several other firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BB&T Securities, LLC, and Pruco Securities, LLC. Charles holds a variety of licenses and certifications including Series 3, 7, 9, 10, 24, 63, and 65. Charles provides a variety of financial services to his clients, including financial planning, portfolio management, and selection of other advisers. Charles is a strong advocate for his clients and is committed to helping them achieve their financial goals.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
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2
NC
02/01/2023 - Present
Osaic Institutions, Inc. (Wilmington NC)
NC
08/05/2020 - 01/31/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WILMINGTON NC)
SC
03/03/2020 - 07/22/2020
PRUCO SECURITIES, LLC. (MT. PLEASANT SC)
NC
01/02/2018 - 02/18/2020
BB&T SECURITIES, LLC (WILMINGTON NC)
NC
09/21/2010 - 01/02/2018
BB&T INVESTMENT SERVICES, INC. (WILMINGTON NC)
VA
03/13/2009 - 04/19/2010
AMERIPRISE FINANCIAL SERVICES, INC. (VIENNA VA)
SC
04/10/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (COLUMBIA SC)
DC
07/16/2003 - 03/06/2007
WACHOVIA SECURITIES, LLC (WASHINGTON DC)
NJ
06/13/1997 - 07/21/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/23/1994 - 06/16/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
08/23/1993 - 10/06/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
01/23/1990 - 08/26/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/03/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/11/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/11/2007
Series 24 - General Securities Principal Examination
BC
Issued 11/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2001
Series 3 - National Commodity Futures Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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