Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Dara Day is an investment advisor representative with UBS Financial Services Inc. Charles is based in New York and has been in the industry since March 1997. Charles is registered with FINRA and has a Series 3, 7, 9, 10, 63, and 65 license. Charles also holds registrations in several states, including New York, Texas, Colorado, Connecticut, and California. Charles has previous experience with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Citigroup Global Markets Inc.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
09/24/2014 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 10/04/2014
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
09/29/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/31/1997 - 10/09/2006
CITIGROUP GLOBAL MARKETS INC. (SCARSDALE NY)
IA
Issued 04/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/03/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/1997
Series 3 - National Commodity Futures Examination
BC
Issued 03/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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