Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Layton is a financial advisor with over 50 years of experience in the industry. Charles has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1979. Prior to that, Charles was a registered representative at ROBINSON-HUMPHREY COMPANY, INC. (THE) from 1966 to 1979. Charles has a wide range of experience in the financial services industry, including experience in securities, investments, and insurance. Charles is licensed to sell securities in a number of states, and Charles holds a Series 00, 1, 5, 7TO, and 63 license. Charles has been a registered investment advisor since 1993. Charles is also licensed to sell insurance in a number of states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
06/22/1984 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PONTE VEDRA BEACH FL)
NA
01/14/1966 - 08/24/1979
ROBINSON-HUMPHREY COMPANY, INC. (THE)
IA
Issued 09/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/01/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/21/1973
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/02/1977
PC - AMEX Put and Call Exam
BC
Issued 01/12/1966
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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