Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Mcclane Roberts is a registered representative with UBS Financial Services Inc. Charles Roberts is a registered representative with UBS Financial Services Inc. Charles has been in the financial services industry since June 2008. Charles is licensed in a number of states, including Texas, Virginia, and others. Charles is a Series 7, 9, 10, 63, and 66 licensed professional. Charles has been with UBS since May 2015. Charles has previous experience with Fidelity Brokerage Services LLC.
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
VA
05/20/2015 - Present
UBS Financial Services Inc. (NORFOLK VA)
FL
05/26/2008 - 05/05/2015
FIDELITY BROKERAGE SERVICES LLC (SARASOTA FL)
BOTH
Issued 07/11/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/18/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2008
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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