Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Andrew Wallace is an active advisor registered with Wells Fargo Clearing Services, LLC. Charles has been working in the financial services industry since July 1992, and has experience in both the brokerage and investment advisory space. Charles is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Charles's prior experience includes positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and A. G. Edwards & Sons, Inc.
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.
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.
Investment consulting services to institutional clients
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
OK
03/16/2016 - Present
Wells Fargo Clearing Services, LLC (GROVE OK)
AR
03/24/2006 - 03/17/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROGERS AR)
MO
09/27/1995 - 03/30/2006
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
WI
05/03/1993 - 09/27/1995
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
NA
07/27/1992 - 05/03/1993
KINGLAND CAPITAL CORPORATION
IA
Issued 01/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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