Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Arthur Pruzan is a financial professional with a strong focus on securities trading and investment advice. Charles has a background in securities trading and holds a Series 7TO, Series 57TO, and Series 63 license. He is currently registered with Oppenheimer & Co. Inc. in New York, NY and has prior experience with Tradeweb L.L.C. Charles provides investment advice and portfolio management services to individuals, corporations, and other entities.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
03/22/2024 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/23/2024 - 02/09/2024
TRADEWEB L.L.C (NEW YORK NY)
BC
Issued 02/20/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/11/2024
Series 57TO - Securities Trader Exam
BC
Issued 01/23/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/25/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
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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