Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Putney is a financial professional with over 50 years of experience in the industry. Charles has a wide range of experience in financial services, having worked with various firms, including UBS Financial Services Inc. and RBC Capital Markets, LLC. His expertise spans multiple areas, including general securities, options, and municipal securities. Charles currently holds Series 4, 7, 9, 10, 12, 15, 24, 53, 63 and 66 licenses, reflecting a broad base of knowledge and experience. Charles has also served on the Board of Directors of the James F & Marion L Miller Foundation, showcasing a commitment to philanthropic endeavors. Charles currently works with RBC Capital Markets, LLC, and is registered in Arizona, Oregon, and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
AZ
03/30/2017 - Present
RBC Capital Markets, LLC (TUCSON AZ)
OR
01/31/1980 - 06/18/2010
UBS FINANCIAL SERVICES INC. (PORTLAND OR)
NA
11/17/1972 - 01/31/1980
NA
05/14/1964 - 11/17/1972
BOTH
Issued 08/30/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/15/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/22/1980
Series 4 - Registered Options Principal Examination
BC
Issued 02/29/1980
Series 24 - General Securities Principal Examination
BC
Issued 01/25/1980
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 04/23/1985
Series 5 - Interest Rate Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 05/08/1964
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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