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 Cooper has been in the financial services industry for over 17 years. Charles is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is a Registered Representative. Charles has been registered with Merrill Lynch since December 17, 2009. Prior to joining Merrill Lynch, Charles worked at BANC OF AMERICA INVESTMENT SERVICES, INC., WACHOVIA SECURITIES, LLC and FIRST CLEARING, LLC. Charles has passed the Series 7, Series 10, Series 24, Series 63 and Series 66 exams. Charles is also a registered investment advisor in North Carolina. Charles holds a designation of owner in the firm SC PHOTOGRAPHY LLC. Charles specializes in providing financial advice to individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, high-net-worth individuals, and state or municipal government entities.
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
12/17/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NC
08/19/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
04/18/2007 - 08/05/2008
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
VA
11/11/2005 - 04/18/2007
FIRST CLEARING, LLC (RICHMOND VA)
MO
08/10/2005 - 10/14/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BOTH
Issued 05/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/23/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2005
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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