Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Schroeder is a financial professional with over 28 years of experience in the industry. Charles is currently registered with M Holdings Securities, Inc., and is licensed in California, Colorado, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Rhode Island. Charles Schroeder has been in the industry since 1994 and previously worked at Canaccord Genuity LLC, Sterne, Agee & Leach, Inc., Prudential Equity Group, LLC, Lazard Freres & Co. LLC, and Merrill Lynch Funds Distributor, Inc.. Charles Schroeder has expertise in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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.
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2
NJ
02/07/2025 - Present
M Holdings Securities, Inc. (MADISON NJ)
NY
03/18/2015 - 10/23/2019
CANACCORD GENUITY LLC (NEW YORK NY)
NY
10/02/2007 - 03/13/2015
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NY
11/12/2003 - 06/11/2007
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
NY
05/15/1995 - 12/31/2002
LAZARD FRERES & CO. LLC (NEW YORK NY)
NY
01/20/1993 - 05/17/1995
MERRILL LYNCH FUNDS DISTRIBUTOR, INC. (NEW YORK NY)
IA
Issued 06/06/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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