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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Spingler is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles Spingler is registered with the state of Connecticut, New Jersey, New York and Texas. Charles Spingler has been in the industry since November 21, 2017. Charles Spingler was previously registered with AXA Advisors, LLC and Sanford C. Bernstein & Co., LLC. Charles Spingler has passed the Uniform Combined State Law Examination, General Securities Representative Examination, Securities Industry Essentials Examination, Futures Managed Funds Examination and General Securities Representative Examination exams.
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
NY
08/02/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
08/03/2009 - 04/20/2011
AXA ADVISORS, LLC (NEW YORK NY)
NY
08/23/2007 - 12/17/2008
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
BOTH
Issued 01/04/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/04/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/30/2020
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 08/22/2007
Series 7 - General Securities 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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