Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Tharnstrom is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. in the Los Angeles area. Charles has over 37 years of experience in the financial services industry. Charles has passed multiple securities exams including the Series 7, 3, 9, 10, 63 and 65. Charles has held positions at various firms, including Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., and Morgan Stanley & Co., Incorporated. Charles provides financial services to a variety of client types, including individuals, corporations, charitable organizations, insurance companies, pension plans, and government entities. Charles's specialties include portfolio management, investment advisory services, and financial planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
03/27/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
03/28/2008 - 04/16/2014
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
NY
02/26/2001 - 04/17/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
08/14/1989 - 02/09/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
FL
10/22/1985 - 07/25/1989
WILLIAM R. HOUGH & CO. (ST. PETERSBURG FL)
IA
Issued 07/23/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/09/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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