Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Cavanaugh is a financial advisor with over 25 years of experience in the financial services industry. Charles is currently registered with Citigroup Global Markets Inc. in New Jersey and New York. Charles is a Series 6, 7, 24, 26, 66, and SIE licensed professional. Charles has held previous roles at Morgan Stanley, UBS Financial Services Inc., MML Investors Services, LLC, The Leaders Group, Inc., Allstate Distributors, L.L.C., and A. G. Edwards & Sons, Inc.
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.
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 advice
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
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (New York NY)
IL
05/10/2017 - 09/08/2017
ALLSTATE FINANCIAL SERVICES, LLC (Northbrook IL)
IL
03/15/2017 - 09/08/2017
ALLSTATE DISTRIBUTORS, L.L.C. (NORTHBROOK IL)
CO
09/27/2016 - 03/16/2017
THE LEADERS GROUP, INC. (LITTLETON CO)
NJ
04/06/2015 - 09/28/2016
MML INVESTORS SERVICES, LLC (BRIDGEWATER NJ)
NJ
10/11/2013 - 03/31/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/01/2009 - 04/08/2013
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
11/28/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
CT
09/27/2004 - 11/13/2006
MML INVESTORS SERVICES, INC. (SHELTON CT)
NY
01/09/2004 - 08/24/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MO
07/10/2002 - 01/14/2004
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
PA
02/28/2001 - 02/12/2002
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NE
08/31/1999 - 06/19/2000
AMERITAS INVESTMENT CORP. (LINCOLN NE)
NY
05/13/1998 - 07/28/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
12/12/1991 - 08/13/1996
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
BOTH
Issued 08/05/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/10/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/15/1991
Series 6 - Investment Company Products/Variable Contracts 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
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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