Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles McIntosh Leak is an investment advisor representative with RBC Capital Markets, LLC. Charles has been working in the securities industry since January 23, 1989, and is registered in Alabama, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maine, Massachusetts, Mississippi, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Texas, and Virginia. Charles has specialized in the following areas: portfolio management for individuals, portfolio management for businesses, portfolio management for pooled investment vehicles, and providing financial planning services. Prior to joining RBC Capital Markets, LLC, Charles was an investment advisor representative at Morgan Stanley and Morgan Stanley Smith Barney. Charles is committed to providing clients with personalized financial advice that helps them achieve their investment 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NC
05/17/2023 - Present
RBC Capital Markets, LLC (WILMINGTON NC)
NC
06/01/2009 - 03/02/2021
MORGAN STANLEY (WILMINGTON NC)
NC
02/15/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WILMINGTON NC)
NC
05/10/2002 - 02/27/2008
UBS FINANCIAL SERVICES INC. (WILMINGTON NC)
NY
01/26/1998 - 05/16/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
GA
09/22/1993 - 02/09/1998
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NY
07/31/1993 - 09/23/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
01/24/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 11/26/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/29/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1989
Series 3 - National Commodity Futures Examination
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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