Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Dale is a financial advisor with Regions Securities LLC in Dallas, Texas. Charles has been in the securities industry since 2013. Prior to joining Regions Securities LLC, Charles was a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Charles holds the Series 7, Series 63, Series 79 and SIE licenses. He is registered with the states of Arizona, California, Nevada, and Texas.
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.
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.
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TX
07/12/2016 - Present
Regions Securities LLC (Dallas TX)
TX
09/09/2013 - 06/23/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
BC
Issued 10/18/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/09/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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