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 Gallagher is a registered representative with Principal Securities, Inc. Charles has over 7 years of experience in the financial services industry. Charles has been registered with the Securities and Exchange Commission since 7/13/2015. Charles is licensed to sell securities in Arizona, California, Idaho, Kansas, and North Dakota. Charles is also registered with the Financial Industry Regulatory Authority (FINRA). Charles has passed the Series 6, Series 63, and SIE exams. Charles is an Investment Advisor Representative and can provide financial planning and portfolio management services.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
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2
CA
09/11/2024 - Present
Principal Securities, Inc. (HUNTINGTON BEACH CA)
CA
02/28/2017 - 12/20/2022
THRIVENT INVESTMENT MANAGEMENT INC. (Huntington Beach CA)
CA
07/13/2015 - 01/11/2017
NYLIFE SECURITIES LLC (GLENDALE CA)
BC
Issued 08/04/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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