Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Crowley is a financial professional with over 27 years of experience in the securities industry. Charles currently works at Wells Fargo Securities, LLC, where Charles has been registered since 2013. Charles has been a registered representative in the State of New York since 1995. Charles holds several industry licenses including Series 7, Series 24, Series 63, Series 99TO, and the SIE exam. Before joining Wells Fargo Securities, LLC, Charles worked at Keefe, Bruyette & Woods, Inc., from 1997 to 2013, and at Sandler, O’Neill & Partners, L.P. from 1995 to 1997.
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.
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.
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2
NY
07/19/2013 - Present
Wells Fargo Securities, LLC (New York NY)
NY
03/28/1997 - 02/25/2013
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
01/03/1995 - 01/31/1997
SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)
BC
Issued 01/09/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/15/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
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Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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