Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Louis Schlapp is an Investment Advisor Representative with Cetera Investment Advisers LLC. Charles is registered with FINRA and has been in the financial services industry since 1987. Charles has experience with a variety of financial services, including fixed insurance, pension planning, and financial services. Charles is also the owner and president of SFM Associates, Inc. DBA Superior Financial Management.
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.
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2
NY
06/29/2023 - Present
Cetera Investment Advisers LLC (JERICHO NY)
NY
01/01/1992 - 02/01/2019
NORTH RIDGE SECURITIES CORP. (JERICHO NY)
VT
12/09/1996 - 12/18/2000
EQUITY SERVICES, INC. (MONTPELIER VT)
DE
06/08/1992 - 12/31/1994
PML SECURITIES COMPANY (NEWARK DE)
NY
04/20/1989 - 01/08/1992
USLIFE EQUITY SALES CORP. (NEW YORK NY)
CT
08/13/1987 - 02/25/1989
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BC
Issued 07/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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