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 Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been in the industry since 1996 and has held a number of positions with BANC OF AMERICA SECURITIES LLC and BANC OF AMERICA INVESTMENT SERVICES, INC. Charles is a Series 7, Series 24 and Series 63 licensed professional and is registered in 53 states and the District of Columbia.
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
NC
11/01/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
10/29/2004 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
MA
10/07/1998 - 11/01/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
06/05/1998 - 08/03/1999
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
12/20/1995 - 01/12/1998
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
BC
Issued 09/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/09/1998
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
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