Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Christian Specht is a financial advisor with over 27 years of experience in the industry. Charles is currently registered with LPL Financial LLC and has been with the firm since September 2020. Prior to joining LPL Financial LLC, Charles worked at WELLS FARGO CLEARING SERVICES, LLC for nearly 20 years. Charles is registered to provide financial advice in 24 states and has a broad range of certifications and licenses including Series 3, 7, 9, 10, 23, 24, 31, 63 and 65. Charles is also a FINRA Arbitrator. Charles provides a variety of financial services to clients, including financial planning, portfolio management, and consulting services.
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
ID
09/23/2020 - Present
LPL Financial LLC (DALTON GARDENS ID)
WA
02/06/2001 - 01/07/2020
WELLS FARGO CLEARING SERVICES, LLC (SPOKANE WA)
NY
01/18/1995 - 02/07/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 03/05/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 02/03/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 08/23/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/17/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2005
Series 3 - National Commodity Futures Examination
BC
Issued 02/08/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 01/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Charles Specht is the right advisor for you? Invested Better is here to help.
