Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Adams is a securities professional with experience in the financial services industry. Charles has been a registered representative since May 18, 2023, and holds Series 7, 79, 63, and 65 securities licenses. Charles is currently employed by Finalis Securities LLC, a broker-dealer headquartered in New York, NY. Charles has also previously been employed by Independent Investment Bankers, Corp. in Austin, Texas. Charles is licensed in Florida, Idaho, 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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NY
01/02/2024 - Present
Finalis Securities LLC (New York NY)
TX
05/18/2023 - 12/15/2023
INDEPENDENT INVESTMENT BANKERS, CORP. (AUSTIN TX)
BC
Issued 04/03/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/07/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2023
Series 7TO - General Securities Representative Examination
BC
Issued 05/18/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/24/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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