Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Cooper is a financial advisor with over 40 years of experience in the financial services industry. Charles is a registered representative with UBS Financial Services Inc., where Charles has been employed since April 2016. Prior to joining UBS, Charles was employed by Morgan Stanley from June 2009 to April 2016 and Citigroup Global Markets Inc. from July 1993 to June 2009. Charles holds multiple professional licenses and designations, including Series 7, Series 8, Series 31, Series 63, Series 65, and SIE. Charles is also a registered investment advisor in Florida, Maryland, and Texas. Charles provides financial advice to a variety of clients, including individuals, families, businesses, and institutions. Charles specializes in financial planning, portfolio management, and retirement planning.
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
FL
05/03/2016 - Present
UBS Financial Services Inc. (Palm Beach Gardens FL)
MD
06/01/2009 - 04/21/2016
MORGAN STANLEY (BETHESDA MD)
MD
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BETHESDA MD)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/27/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
07/29/1981 - 12/23/1983
DEAN WITTER REYNOLDS INC.
IA
Issued 12/26/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 07/18/1981
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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