Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Clinton Stieff III is a financial advisor with over 35 years of experience in the industry. He has been registered with Wells Fargo Clearing Services, LLC since 2007. Prior to that, Charles was registered with Morgan Stanley DW Inc., BT Alex. Brown Incorporated and Alex. Brown & Sons Incorporated. Charles holds the Series 3, 7, 31, 63 and 65 licenses and the SIE exam. Charles is a dedicated financial advisor with a strong track record of helping clients meet their financial goals. He has a deep understanding of the financial markets and a commitment to providing personalized service.
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.
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.
Investment consulting services to institutional clients
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
MD
01/19/2012 - Present
Wells Fargo Clearing Services, LLC (LUTHERVILLE MD)
MD
01/07/1999 - 02/05/2007
MORGAN STANLEY DW INC. (LUTHERVILLE MD)
MD
09/01/1997 - 01/13/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
01/05/1987 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NA
03/19/1985 - 02/02/1987
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 07/09/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/04/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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