Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Howard Levine is an investment advisor representative with UBS Financial Services Inc. Charles has been in the industry since December 17, 1984 and has been registered with UBS since March 2009. Previously, Charles was registered with CITIGROUP GLOBAL MARKETS INC., Lehman Brothers Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Charles holds the Series 63, 65, 7, 9, 10 and SIE licenses. Charles specializes in providing portfolio management for businesses and individuals, as well as financial planning and pension consulting.
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
NJ
11/08/2021 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
07/31/1993 - 04/02/2009
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
01/29/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/18/1984 - 02/08/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/06/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/08/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1984
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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