Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Carlton is a financial advisor with over 35 years of experience in the financial services industry. Charles is currently registered with LPL Financial LLC and has a Series 7 and Series 63 license. He is also a Certified Financial Planner. Previously, Charles has worked with Securities Service Network, LLC, Investcorp, Inc. and Dean Witter Reynolds Inc.. Charles specializes in providing financial planning, portfolio management, and other advisory services to individuals, families, and businesses. He also provides educational seminars and consulting services. Charles is committed to helping his clients achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
1
2
AL
09/03/2020 - Present
LPL Financial LLC (BIRMINGHAM AL)
AL
12/06/1994 - 09/02/2020
SECURITIES SERVICE NETWORK, LLC (BIRMINGHAM AL)
FL
09/05/1991 - 12/12/1994
INVESTACORP, INC. (MIAMI FL)
NY
04/16/1987 - 05/21/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
09/18/1985 - 04/06/1987
MORGAN KEEGAN & COMPANY, INC.
NA
04/23/1985 - 09/25/1985
PROTECTIVE EQUITY SERVICES, INC.
BC
Issued 06/03/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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