Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Sanford is an investment advisor representative with Ameriprise Financial Services, LLC. Charles has been in the financial services industry for over 22 years. Charles has a Series 63, 65, 7, 9, 10, 31 and SIE license. Charles has worked at several firms, including RBC Capital Markets, LLC, UBS Financial Services Inc., and Morgan Stanley DW Inc. Charles is registered with the following states: California, Colorado, Florida, Georgia, Louisiana, Michigan, Minnesota, Missouri, Nevada, New York, North Carolina, Oklahoma, Pennsylvania, Tennessee, Texas, Utah, Virginia, and Wisconsin.
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.
1
2
TX
08/24/2018 - Present
Ameriprise Financial Services, LLC (THE WOODLANDS TX)
TX
04/18/2008 - 09/05/2018
RBC CAPITAL MARKETS, LLC (SUGAR LAND TX)
TX
11/01/2002 - 04/29/2008
UBS FINANCIAL SERVICES INC. (SUGAR LAND TX)
NY
07/20/2000 - 11/04/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 10/04/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 07/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Charles Sanford is the right advisor for you? Invested Better is here to help.
