Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Dixon is a financial advisor with over 25 years of experience in the industry. Charles is currently registered with Independent Advisor Alliance, LLC and has been in the role since 2016. Prior to joining Independent Advisor Alliance, LLC Charles worked at Ameriprise Financial Services, INC. Charles specializes in financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars.
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.
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.
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2
NC
11/06/2016 - Present
Independent Advisor Alliance, LLC (Matthews NC)
NC
10/05/2009 - 10/07/2016
AMERIPRISE FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
11/30/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (CHARLOTTE NC)
NC
10/01/2000 - 12/04/2007
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
NC
03/21/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
04/07/1994 - 11/30/1994
QUICK & REILLY, INC. (NEW YORK NY)
CO
01/19/1994 - 03/01/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IL
10/28/1987 - 04/27/1989
SHAW DATA SECURITIES, INC. (GENEVA IL)
NA
10/08/1985 - 12/11/1985
FIRST INVESTORS CORPORATION
IA
Issued 09/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/20/1993
Series 7 - General Securities Representative Examination
BC
Issued 10/07/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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