Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Bauer is an investment advisor registered with Fifth Third Securities, Inc.. Charles's office is located in Chicago, Illinois, and the firm's main office is in Cincinnati, Ohio. Charles has a combined 13 years of experience in the financial industry. Charles has passed the Series 6, Series 63, Series 79, and Series 79TO exams and has a current registration in Illinois. Prior to joining Fifth Third Securities, Inc., Charles worked at H2C Securities Inc., and Houlihan Lokey Capital, Inc., in Chicago. Charles has a broad range of experience that spans the financial services industry, including investment banking, portfolio management, and financial planning.
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.
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.
Sponsor wrap fee program
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.
A percentage of the total value of assets under management is charged.
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2
IL
04/01/2024 - Present
Fifth Third Securities, Inc. (CHICAGO IL)
IL
11/04/2022 - 04/01/2024
H2C SECURITIES INC. (CHICAGO IL)
IL
08/16/2011 - 01/30/2014
HOULIHAN LOKEY CAPITAL, INC. (CHICAGO IL)
GA
05/01/2007 - 12/09/2008
PFS INVESTMENTS INC. (DULUTH GA)
BC
Issued 11/23/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/4/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 9/29/2022
SIE - Securities Industry Essentials Examination
BC
Issued 8/15/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 4/30/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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