Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Garlock is a financial advisor currently registered with HSBC Securities (USA) Inc. Charles holds a Series 66 and a Series 52TO license and has been in the industry since 2015. Charles Garlock has previously worked with Key Investment Services LLC and LPL Financial 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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
06/26/2017 - Present
Hsbc Securities (usa) Inc. (Lockport NY)
OH
09/21/2016 - 09/30/2016
KEY INVESTMENT SERVICES LLC (BROOKLYN OH)
NY
05/27/2015 - 09/21/2016
LPL FINANCIAL LLC (ORCHARD PARK NY)
FL
10/24/2013 - 10/29/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
BOTH
Issued 07/31/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/02/2021
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/21/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/18/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/30/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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