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 Crystal is a financial advisor with over 39 years of experience in the industry. Charles is currently registered with UBS Financial Services INC. and has been with UBS since 2009. Charles's previous experience includes roles with CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC. Charles is a licensed Series 3, 6, 7, and 63. He also holds the Series 65 and SIE licenses. Charles is registered in 24 states for both investment advisory and brokerage activities. Charles is a specialist in providing a wide range of services including financial planning, portfolio management for individuals and businesses, selection of other advisors, educational seminars, and the publication of periodicals. Charles has a strong background in providing advisory services to a diverse range of clients including high-net-worth individuals, corporations, and charitable organizations.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (JERICHO NY)
NY
07/31/1993 - 05/27/2009
CITIGROUP GLOBAL MARKETS INC. (MANHASSET NY)
NY
07/20/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 10/7/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/20/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/29/1983
Series 3 - National Commodity Futures Examination
BC
Issued 7/16/1983
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1982
Series 6 - Investment Company Products/Variable Contracts Representative 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
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