Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Anthony Lazzara is a registered investment advisor representative with UBS Financial Services Inc. He is based in Plainfield, Illinois and has been in the financial services industry for over 25 years. Charles has a wide range of experience and licenses, including Series 7, 9, 10, 63, and 65. He has previously worked with Wachovia Securities, LLC and Prudential Securities Incorporated.
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.
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.
See schedule d - miscellaneous
1
2
NJ
05/13/2008 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
IL
07/01/2003 - 05/22/2008
WACHOVIA SECURITIES, LLC (CHICAGO IL)
NY
06/26/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 07/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/27/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/07/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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