Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Gordon Carter is a financial advisor with over 25 years of experience in the financial services industry. Charles is currently registered with Commonwealth Financial Network in Phoenix, Arizona. Previously, Charles worked at The Leaders Group, Inc. in Littleton, Colorado; Phoenix Equity Planning Corporation in Philadelphia, Pennsylvania and Hartford, Connecticut; Nationwide Investment Services Corporation in Columbus, Ohio; Dean Witter Reynolds Inc. in Purchase, New York; and Norcross & Company in Phoenix, Arizona. Charles holds the Series 31, Series 7, and SIE licenses. Charles is also a Chartered Financial Consultant. Charles provides financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Charles is a co-owner of DMCC, LLC and SHYCUS, 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.
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.
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2
AZ
02/26/2014 - Present
Commonwealth Financial Network (PHOENIX AZ)
CO
07/22/2010 - 07/15/2013
THE LEADERS GROUP, INC. (LITTLETON CO)
PA
02/04/2009 - 01/04/2010
PHOENIX EQUITY PLANNING CORPORATION (PHILADELPHIA PA)
CT
03/22/2005 - 02/04/2009
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
OH
08/17/1998 - 03/21/2005
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
NY
02/07/1997 - 09/08/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
AZ
04/06/1995 - 03/04/1997
NORCROSS & COMPANY (PHOENIX AZ)
BC
Issued 04/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 04/05/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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