Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Herbert Locy is a financial advisor with MML Investors Services, LLC. Charles is a registered representative and investment advisor representative. Charles has been in the industry since 1982. Charles has a Series 63 and Series 65 license. Charles is also a Registered Representative of MML Investors Services, 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.
Asset allocation programs
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.
Solicitors fees
1
2
OH
12/23/2011 - Present
MML Investors Services, LLC (CINCINNATI OH)
OH
03/02/2010 - 01/09/2012
AXA ADVISORS, LLC (CINCINNATI OH)
OH
05/01/1992 - 03/04/2010
NEW ENGLAND SECURITIES (CINCINNATI OH)
NY
11/15/1981 - 12/17/1991
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 09/20/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/02/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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