Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Isaacs is a financial advisor with over 30 years of experience in the industry. Charles is currently registered with Raymond James & Associates, Inc. and is licensed to provide investment advice in several states. Charles has held previous roles at UBS Financial Services Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Charles is a dedicated professional who is committed to providing his clients with the highest quality financial advice. Charles specializes in providing a range of investment-related services, including portfolio management, financial planning, pension consulting, and educational seminars. Charles's extensive experience and expertise make him a valuable resource for individuals and families looking to achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
CA
01/13/2023 - Present
Raymond James & Associates, Inc. (Woodland Hills CA)
CA
10/03/2008 - 06/12/2020
UBS FINANCIAL SERVICES INC. (ENCINO CA)
CA
07/31/1993 - 10/20/2008
CITIGROUP GLOBAL MARKETS INC. (SHERMAN OAKS CA)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/21/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/26/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/1987
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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