Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Martin Hefferon is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been in the industry since 2001. Charles has a wide range of experience in the financial industry. Charles has experience in portfolio management for both individuals and businesses, as well as pension consulting. Charles is registered in 53 states and 2 territories. Charles is also registered with the Securities and Exchange Commission.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/07/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
03/04/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
01/19/2001 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (HOLLYWOOD CA)
BOTH
Issued 04/30/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/25/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/09/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/18/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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