Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles G. Gaba is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., a firm that has over 25,000 registered representatives and manages over $1 trillion in assets. Charles G. Gaba is licensed to provide advisory services in 53 states and territories and is a registered investment advisor in 5 states. Charles G. Gaba has been in the financial industry since March 17, 2001. Charles G. Gaba provides portfolio management for individuals and businesses as well as pension consulting and educational seminars.
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
MD
05/07/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Clarksburg MD)
VA
06/01/2009 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (MCLEAN VA)
VA
05/01/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (VIENNA VA)
DC
09/18/2003 - 04/22/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
MD
03/16/1999 - 11/03/2000
CHEVY CHASE FINANCIAL SERVICES CORPORATION (BETHESDA MD)
MD
03/05/1998 - 01/25/1999
FIRST MARYLAND BROKERAGE CORPORATION (BALTIMORE MD)
BOTH
Issued 09/13/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/17/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/02/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2006
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/2003
Series 7 - General Securities Representative Examination
BC
Issued 03/04/1998
Series 6 - Investment Company Products/Variable Contracts 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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