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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Rathmell II is a financial advisor at Morgan Stanley. Charles is a registered representative with the state of California and the state of Texas. Charles has been in the financial services industry since 1993. Charles holds Series 3, 7, 31, 63, and 65 securities licenses. Charles is an active member of the Brea Rotary Club, Team Up for Down Syndrome Advisory Council, the CSU College of Business & Economics Executive Council, and the Intervention Center for Early Childhood Board of Directors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
06/01/2009 - Present
Morgan Stanley (Brea CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA ANA CA)
CA
11/16/1993 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA ANA CA)
IA
Issued 10/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1997
Series 3 - National Commodity Futures Examination
BC
Issued 02/11/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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