Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Leonard Swarns is a financial advisor with Truist Advisory Services, Inc.. Charles has over 14 years of experience in the financial services industry and has held previous roles at BB&T Securities, LLC and J.P. Morgan Securities LLC. Charles is registered with the state of New York.
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.
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.
Wrap fee product and financial profiling services using desktop software
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
NY
07/26/2021 - Present
Truist Advisory Services, Inc. (NEW YORK NY)
NY
12/09/2019 - 02/17/2021
BB&T SECURITIES, LLC (NEW YORK NY)
NY
10/01/2008 - 01/19/2017
J.P. MORGAN SECURITIES LLC (New York NY)
NY
05/18/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (MELVILLE NY)
BOTH
Issued 11/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/11/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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