Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles M. Lovell is a financial advisor with UBS Financial Services Inc. with over 20 years of experience in the industry. Charles has a strong track record of success in providing investment advice and financial planning services to individuals, families, and businesses. Charles holds Series 7, 9, 10, 31, and 65 securities licenses. Charles's previous experience includes positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc. Charles is registered to conduct business in 33 states. Charles provides financial planning services to individuals and businesses, including portfolio management, retirement planning, college savings, and estate planning.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
PA
11/07/2022 - Present
UBS Financial Services Inc. (NEWTOWN PA)
PA
02/03/2006 - 10/07/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JENKINTOWN PA)
NY
11/15/1999 - 02/02/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 12/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/22/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/02/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 11/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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