Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles K Truong is a financial advisor registered with LPL Financial LLC since 2023. Charles has worked in the financial services industry for over two decades. Charles previously worked for BANCWEST INVESTMENT SERVICES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Charles specializes in providing financial planning and investment advice for individuals, corporations and other businesses, high-net-worth individuals, charitable organizations, and pension and profit-sharing plans.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
07/19/2023 - Present
LPL Financial LLC (WALNUT CREEK CA)
CA
03/02/2016 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (HAYWARD CA)
CA
06/10/2014 - 02/18/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
09/21/2012 - 05/30/2014
WELLS FARGO ADVISORS, LLC (WALNUT CREEK CA)
CA
10/17/2006 - 09/25/2012
UNIONBANC INVESTMENT SERVICES, LLC (WALNUT CREEK CA)
CA
09/22/2006 - 10/17/2006
WELLS FARGO INVESTMENTS, LLC (ANTIOCH CA)
CA
02/03/2005 - 09/25/2006
UNIONBANC INVESTMENT SERVICES, LLC (WALNUT CREEK CA)
NY
01/16/2002 - 01/25/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
07/17/2000 - 01/15/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/17/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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