Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Franklin Wada is a financial advisor currently associated with Ameriprise Financial Services, LLC. Charles has been in the financial industry since April 1985. Charles is registered in California, Texas, Arizona, Florida, Hawaii, Illinois, Nevada, New Mexico, New York, Oregon, and Virginia as a broker and in California and Texas as an investment advisor. Charles has earned the Series 6, Series 7, and Series 63 licenses. Charles holds a SIE license. In addition to Ameriprise Financial Services, LLC, Charles was previously registered with GWF Securities, CORP., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, ADVANTAGE CAPITAL CORPORATION, SME CAPITAL MANAGEMENT CORPORATION, TRAFALGAR SECURITIES CORP. and IDS LIFE INSURANCE COMPANY. Charles has a history of working in Glendale, CA. Charles is a volunteer tour guide at the L.A. Zoo. Charles is a registered representative of Ameriprise Financial Services, Inc. and an investment advisor representative of Ameriprise Financial Services, LLC.
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.
Asset allocation services
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.
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2
CA
10/09/2006 - Present
Ameriprise Financial Services, LLC (LOS ANGELES CA)
MN
06/06/1988 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
02/29/1988 - 05/05/1988
TRAFALGAR SECURITIES CORP.
NA
12/08/1987 - 02/17/1988
SME CAPITAL MANAGEMENT CORPORATION
NA
06/29/1987 - 12/31/1987
ADVANTAGE CAPITAL CORPORATION
NA
04/30/1985 - 06/11/1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
NA
02/19/1985 - 04/30/1985
GWF SECURITIES, CORP.
BC
Issued 09/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 02/18/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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