Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles McCool is an investment advisor representative with UBS Financial Services Inc. Charles has been in the financial industry since May 1999. Charles has passed the Series 31, Series 7, and Series 66 exams. Charles has also passed the Securities Industry Essentials Examination (SIE). Charles is registered with the state of Connecticut as an investment advisor representative, and with the state of Texas. Charles is also registered with the Financial Industry Regulatory Authority (FINRA). Charles has previously worked at MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., SANFORD C. BERNSTEIN & CO., INC., and SANFORD C. BERNSTEIN & CO., 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CT
01/16/2009 - Present
UBS Financial Services Inc. (WESTPORT CT)
NY
04/02/2007 - 01/21/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
05/07/2004 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/07/2000 - 05/17/2004
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
01/18/2000 - 12/07/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
BOTH
Issued 12/20/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/06/1999
Series 31 - Futures Managed Funds Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Charles McCool is the right advisor for you? Invested Better is here to help.
