Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Kelly is a financial advisor with over 20 years of experience in the financial industry. He is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has a broad range of experience, having previously worked at J.P. Morgan Securities LLC, Charles Schwab & Co., Inc., and RBC Dain Rauscher Inc. Charles holds the Series 63, 65, 7 and SIE licenses, and is registered in 10 states including California, Colorado, Hawaii, Missouri, New York, Oklahoma, Texas, and Utah. Charles specializes in providing investment advice and portfolio management services to a diverse clientele, including individuals, families, corporations, and charitable organizations. He is also experienced in working with pension and profit-sharing plans.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
OK
12/11/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OKLAHOMA CITY OK)
OK
04/29/2011 - 11/10/2015
J.P. MORGAN SECURITIES LLC (OKLAHOMA CITY OK)
OK
10/28/2005 - 04/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OKLAHOMA CITY OK)
TX
04/28/2005 - 10/03/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
10/11/2001 - 06/11/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
TX
06/26/2000 - 03/28/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
07/27/1998 - 01/18/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 05/05/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Charles Kelly is the right advisor for you? Invested Better is here to help.
