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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Shapiro is an investment advisor with over 28 years of experience in the industry. He has a broad range of experience, having worked for firms like Citigroup Global Markets Inc. and Morgan Stanley Smith Barney. Charles currently works for Stratos Wealth Partners, Ltd., an independent investment advisor firm, and LPL Financial, a large financial services company. Charles holds various licenses and registrations across multiple states. Charles's areas of expertise include financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors. He has a strong track record of providing high-quality financial advice to a diverse range of clients.
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.
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.
Percentage of assets under management with third party managers
1
2
CA
03/23/2016 - Present
Stratos Wealth Partners, Ltd. (Irvine CA)
CA
06/01/2009 - 09/09/2010
MORGAN STANLEY SMITH BARNEY (LA JOLLA CA)
CA
12/06/1994 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LA JOLLA CA)
IA
Issued 12/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/18/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2003
Series 3 - National Commodity Futures Examination
BC
Issued 12/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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