Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Chapman is a registered representative with Cetera Investment Advisers LLC. Charles has been in the financial services industry since December 2008. Charles has been a representative of Cetera Investment Advisers LLC since April 2018. Previously, Charles was a registered representative of Morgan Stanley Smith Barney LLC in Dothan, Alabama from May 2014 to April 2018. Prior to that, Charles was a registered representative of Morgan Keegan & Company, Inc. in Birmingham, Alabama from December 2008 to November 2009. Charles is registered with the following securities regulators: Alabama. Charles holds the following securities licenses: Series 7, Series 66, and SIE. Charles's current employer Cetera Investment Advisers LLC is a registered investment adviser. Cetera Investment Advisers LLC manages approximately $104.47 Billion in assets for individuals, trusts, corporations, charitable organizations and other institutional clients. Cetera Investment Advisers LLC provides financial planning, pension consulting, educational seminars, selection of other advisors and portfolio management for businesses and individuals.
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.
A percentage of the total value of assets under management is charged.
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2
AL
04/20/2018 - Present
Cetera Investment Advisers LLC (TROY AL)
AL
12/14/2009 - 04/18/2018
MORGAN STANLEY (DOTHAN AL)
AL
12/09/2008 - 11/24/2009
MORGAN KEEGAN & COMPANY, INC. (BIRMINGHAM AL)
BOTH
Issued 1/8/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/8/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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