Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles David Wallin is an investment advisor representative with Cetera Investment Advisers LLC. Charles has been in the financial industry since 1999. Charles holds Series 6, 7, 24, 51, and 66 licenses and is registered with the following states: Arizona, California, Colorado, Florida, Georgia, Indiana, Iowa, Kansas, Louisiana, Minnesota, Missouri, Nebraska, New Mexico, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Texas, Washington, and West Virginia. Charles has been associated with Cetera Advisor Networks LLC since 2013 and with Cetera Investment Advisers LLC since 2023. Charles is also the Investment Advisor for APEX FINANCIAL SOLUTIONS, LLC.
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
OK
06/29/2023 - Present
Cetera Investment Advisers LLC (WARR ACRES OK)
OK
02/11/2003 - 09/03/2013
WALNUT STREET SECURITIES, INC. (OKLAHOMA CITY OK)
OH
07/21/2000 - 02/10/2003
CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)
CA
04/10/2000 - 07/20/2000
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
CA
05/17/1999 - 04/10/2000
SAN CLEMENTE SECURITIES, INC. (SAN CLEMENTE CA)
BOTH
Issued 7/14/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 4/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/9/2009
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 9/26/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 4/5/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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