Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Edward Baranich is a financial advisor registered with HSBC Securities (USA) Inc. located in Depew, NY. Charles has been in the financial industry since 2001. Charles has held previous roles at Citigroup Global Markets Inc. and Wachovia Securities, LLC. Charles holds Series 4, 7, 9, 10, 31, 63, 65, 99, and SIE licenses. Charles works with clients such as high-net-worth individuals, corporations, and pooled investment vehicles.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
07/16/2009 - Present
Hsbc Securities (usa) Inc. (DEPEW NY)
NY
06/29/2007 - 02/04/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NC
01/01/2001 - 04/12/2007
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
IA
Issued 07/15/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2010
Series 4 - Registered Options Principal Examination
BC
Issued 04/20/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/28/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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