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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Principato is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. in Stamford, Connecticut. Charles has been in the securities industry since January 2021 and has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since July 2024. Charles holds licenses in Series 7, 66 and SIE exams. Charles has prior experience working at Equitable Advisors, LLC, and First Greenwich Capital Funding Corporation. Charles Principato is a Registered Representative and Investment Advisor Representative in Connecticut and Texas. Charles Principato offers investment advisory services to individuals, businesses, corporations, insurance companies, charitable organizations, state or municipal government entities and pension and profit-sharing plans. Charles is an experienced professional with a strong understanding of the financial markets.
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
CT
10/18/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STAMFORD CT)
NY
12/21/2023 - 07/12/2024
EQUITABLE ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 03/15/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/25/2023
SIE - Securities Industry Essentials 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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