Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Wareham is an Investment Advisor Representative with Independent Financial Group, LLC located in HARTFORD, CT. Charles Wareham has over 30 years of experience in the securities industry and has been registered with FINRA since March 1992. Charles Wareham has passed the Series 63, Series 24, SIE, and Series 7 exams. Independent Financial Group, LLC is a Registered Investment Advisor based in SAN DIEGO, CA. The firm has over $6 billion in assets under management and provides financial planning, portfolio management, and investment advisory services to a variety of clients including individuals, businesses, and institutions.
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.
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
CT
04/14/2014 - Present
Independent Financial Group, LLC (HARTFORD CT)
CT
11/11/2005 - 03/21/2014
LPL FINANCIAL LLC (HARTFORD CT)
CT
03/11/1992 - 11/02/2005
AMERIPRISE FINANCIAL SERVICES, INC. (HARTFORD CT)
MN
03/11/1992 - 11/02/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 01/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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