Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lawrence Fahy is a financial advisor at Sovereign Wealth Advisors LLC. Charles has been a registered representative for over 40 years. Charles has extensive experience in providing investment advisory services to individuals, families, and businesses. Charles holds the Series 7, Series 66, and Series 63 licenses. Charles has a commitment to providing personalized financial advice and helping clients reach their financial goals.
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.
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
TX
01/17/2020 - Present
Sovereign Wealth Advisors LLC (HOUSTON TX)
NJ
08/14/2000 - 11/03/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/29/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
09/15/1981 - 04/22/1999
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NA
01/16/1973 - 09/23/1981
E. F. HUTTON & COMPANY INC
BOTH
Issued 08/24/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/06/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 01/12/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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