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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Alexander Smith is a financial advisor with Ameriprise Financial Services, LLC in Gilbert, AZ. Charles has been in the financial services industry since 1999. Before joining Ameriprise, Charles worked for LPL Financial LLC, 1st Global Capital Corp. and MONY Securities Corporation. Charles provides financial planning, portfolio management, and other financial services to individuals, businesses, and institutions. Charles holds a variety of licenses and certifications, including the Series 6, 7, 24, 63, and 65 exams.
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.
Asset allocation services
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
AZ
10/17/2014 - Present
Ameriprise Financial Services, LLC (Gilbert AZ)
AZ
10/16/2007 - 10/30/2014
LPL FINANCIAL LLC (GILBERT AZ)
AZ
10/25/2004 - 10/31/2007
1ST GLOBAL CAPITAL CORP. (MESA AZ)
NY
06/18/1999 - 11/05/2004
MONY SECURITIES CORPORATION (NEW YORK NY)
NY
09/26/2001 - 12/02/2003
TRUSTED SECURITIES ADVISORS CORP. (NEW YORK NY)
BOTH
Issued 06/16/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/08/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2000
Series 7 - General Securities Representative Examination
BC
Issued 06/17/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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