Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Alini is a financial advisor with over 25 years of experience in the industry. Currently, Charles is associated with RBC Capital Markets, LLC, where he has been registered since February 2009. Charles has held previous positions at firms such as Deutsche Bank Securities Inc, Maxcor Financial Inc, Spear, Leeds & Kellogg, L.P, FTN Financial Securities Corp, and Arnhold and S. Bleichroeder, Inc, with the earliest registration dating back to November 1996. Charles holds Series 7, Series 63 and SIE licenses. Charles specializes in providing portfolio management services to individuals, businesses, and pooled investment vehicles. He also offers financial planning, pension consulting, and educational seminars to his clients.
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
CT
02/02/2009 - Present
RBC Capital Markets, LLC (STAMFORD CT)
NY
05/12/2004 - 12/31/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
03/05/2004 - 05/18/2004
MAXCOR FINANCIAL INC. (NEW YORK NY)
NY
06/17/2003 - 03/31/2004
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
TN
09/19/2001 - 03/17/2003
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
NY
08/09/2001 - 08/27/2001
ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)
NY
02/05/2001 - 06/20/2001
ARNHOLD AND S. BLEICHROEDER, INC. (NEW YORK NY)
NY
11/26/1996 - 11/17/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 12/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1996
Series 7 - General Securities 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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