Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Estes is a financial advisor with Principal Securities, Inc. Charles has been in the industry for over 10 years and is licensed to provide investment advice in Ohio. Charles has a variety of experience in the financial industry and can assist clients with financial planning, pension consulting, educational seminars, and portfolio management for individuals. Charles is also a licensed referral real estate agent and can assist clients with their real estate needs.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
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2
OH
05/22/2024 - Present
Principal Securities, Inc. (CINCINNATI OH)
IA
04/06/2021 - 05/02/2024
PRINCIPAL FUNDS DISTRIBUTOR, INC. (DES MOINES IA)
OH
02/19/2020 - 10/30/2020
STANCORP EQUITIES, INC. (CINCINNATI OH)
KY
06/07/2013 - 11/12/2018
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
KY
06/06/2011 - 07/29/2011
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
BOTH
Issued 12/01/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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