Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Hartley is a financial advisor with over 25 years of experience in the financial services industry. Charles has held registrations in multiple states throughout their career, demonstrating a breadth of experience. Charles currently holds a Series 7, Series 24, Series 63, and Series 65 licenses, and works with clients across various industries. Charles is currently registered with A.G.P. / Alliance Global Partners, where they specialize in portfolio management for individuals, businesses, and pooled investment vehicles. Prior to joining A.G.P., Charles held positions with B. Riley Wealth Management and Wells Fargo Advisors. Charles provides financial planning services and can assist clients with selecting other advisors as needed.
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.
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.
A percentage of the total value of assets under management is charged.
Sub-adviser of pooled investment vehicle charges a performance f
1
2
DC
02/28/2024 - Present
A.g.p. / Alliance Global Partners (Washington DC)
DC
10/09/2020 - 03/04/2024
B. RILEY WEALTH MANAGEMENT (Washington DC)
DC
02/01/2013 - 10/13/2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (WASHINGTON DC)
CA
04/17/2002 - 02/04/2013
RAYMOND JAMES FINANCIAL SERVICES, INC. (SAN FRANCISCO CA)
CA
01/28/1999 - 12/14/2000
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NY
06/20/1997 - 02/12/1999
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CA
08/08/1996 - 06/27/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
IA
Issued 11/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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