Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lombardi is a financial advisor with over 25 years of experience in the industry. He is currently registered with Morgan Stanley and holds Series 7, 31, 63, and 65 licenses. Charles has been serving clients in Connecticut and Texas since 2009. Prior to joining Morgan Stanley, Charles held positions at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Charles is passionate about providing personalized financial advice and helping clients achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
05/21/2020 - Present
Morgan Stanley (New Haven CT)
CT
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW HAVEN CT)
CT
09/09/1997 - 04/02/2007
MORGAN STANLEY DW INC. (NEW HAVEN CT)
NY
06/03/1997 - 09/05/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 09/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 05/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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