Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Keoni Tai is a financial advisor with Transamerica Capital, Inc. in Denver, Colorado. Charles has been working in the financial industry since 2015. Charles is registered in Colorado, Kentucky and Tennessee. Charles holds the Series 6, Series 7TO, Series 63 and SIE licenses.
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.
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.
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2
CO
08/12/2022 - Present
Transamerica Capital, Inc. (DENVER CO)
CO
07/18/2018 - 07/08/2022
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
03/26/2018 - 07/13/2018
VALIC FINANCIAL ADVISORS, INC. (LAKEWOOD CO)
CO
11/08/2017 - 02/05/2018
TRANSAMERICA INVESTORS SECURITIES CORPORATION (DENVER CO)
CO
01/12/2017 - 05/16/2017
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
12/15/2014 - 01/09/2017
TRANSAMERICA CAPITAL, INC. (DENVER CO)
BC
Issued 03/30/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/09/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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