Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Smith is a financial advisor with over 30 years of experience. Charles currently works for Cambridge Investment Research Advisors, Inc., a firm that manages over $87 billion in assets. Charles is a licensed financial advisor in over 20 states and is registered as a securities broker in several states. Charles is also a registered investment advisor in Texas and the Virgin Islands. Charles specializes in financial planning, portfolio management, and pension consulting for individual clients, businesses, and pension plans.
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.
Solicitation fees from 3rd party money managers
1
2
TX
04/25/2022 - Present
Cambridge Investment Research Advisors, Inc. (Amarillo TX)
TX
04/13/2017 - 04/22/2022
KESTRA INVESTMENT SERVICES, LLC (AMARILLO TX)
TX
11/25/2005 - 04/24/2017
LPL FINANCIAL LLC (AMARILLO TX)
MA
04/25/2003 - 11/28/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
02/22/1993 - 04/29/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
01/18/1988 - 12/07/1988
PRUCO SECURITIES CORPORATION
IA
Issued 11/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/20/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 02/18/1993
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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