Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Earl Betts is a registered investment advisor representative with Raymond James & Associates, Inc. Charles has been in the financial services industry since September 11, 1991. Charles is registered to offer investment advisory services in North Carolina and Texas. Charles is also registered to offer brokerage services in 23 states. Charles has held previous positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential Securities Incorporated. Charles is a member of the United Methodist Foundation of Western North Carolina Investment Committee.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NC
01/09/2015 - Present
Raymond James & Associates, Inc. (GREENSBORO NC)
NC
01/11/2000 - 05/12/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENSBORO NC)
NY
09/12/1991 - 01/14/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/21/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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