Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lee Plog is an active investment advisor representative with LPL Financial LLC in Folsom, CA. Charles has been in the industry since 1991, and is registered in California, Alaska, Idaho, Nevada, Oregon, and Texas. Charles has passed the Series 63, 65, 7, 24, and SIE exams. Charles also previously worked for Prudential Securities Incorporated and First Union Securities, Inc. Charles offers investment advice to individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and investment clubs. Charles specializes in financial planning, portfolio management, and other consulting services.
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
07/15/2021 - Present
LPL Financial LLC (FOLSOM CA)
NY
03/10/2000 - 06/06/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
04/07/1994 - 03/13/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
10/30/1991 - 04/04/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 07/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/04/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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