Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Slater is a financial advisor with over 30 years of experience in the industry. Charles has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2011. Prior to joining Merrill Lynch, Charles was registered with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and PaineWebber Incorporated. Charles has experience providing financial advice to a wide range of clients, including individuals, businesses, and institutions. Charles is a Registered Representative and an Investment Advisor Representative, and holds the Series 3, 7, 9, 10, 31, 63, and 65 licenses. Charles has earned a number of designations and has been recognized for their expertise in the financial services industry. Charles is committed to providing their clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
03/23/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MONTVALE NJ)
NY
06/01/2009 - 02/10/2011
MORGAN STANLEY SMITH BARNEY (PEARL RIVER NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PEARL RIVER NY)
NY
11/15/1999 - 04/02/2007
MORGAN STANLEY DW INC. (PEARL RIVER NY)
NJ
09/16/1994 - 11/24/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/01/1989 - 09/21/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/02/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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