Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Gregory Hartlieb is a financial advisor at UBS Financial Services Inc., where he has been working since February 2008. Charles has been in the industry since April 18, 2002. Charles holds Series 7, Series 31, Series 63, and Series 65 licenses, and is registered in 35 states as a registered representative and investment advisor representative. Charles is also a member of the University of Iowa Alumni Association board committee, where he has served since 2015.
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.
See schedule d - miscellaneous
1
2
IA
08/25/2008 - Present
UBS Financial Services Inc. (WEST DES MOINES IA)
IA
04/18/2002 - 02/11/2008
CITIGROUP GLOBAL MARKETS INC. (DES MOINES IA)
IA
Issued 05/10/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 04/17/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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