Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Corpening is a financial advisor registered with Raymond James & Associates, Inc. in Winston-Salem, NC. Charles has been in the industry since 1992 and is currently registered with both state and federal authorities. Charles is a Series 7, Series 63, and Series 65 licensed representative and has been working with clients in a variety of capacities.
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.
Please see note in schedule d - miscellaneous
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
NC
09/07/2016 - Present
Raymond James & Associates, Inc. (Winston-Salem NC)
NC
01/13/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (WINSTON-SALEM NC)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
12/01/1993 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NC
09/04/1992 - 12/09/1993
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 09/13/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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