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Charles Melvin Carty

Carty Financial, Inc.

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About Charles Melvin Carty

Charles Carty is an Investment Advisor Representative at Carty Financial, Inc., based in Camarillo, California. Charles has been in the industry since 1993 and has a broad range of experience. Charles holds multiple licenses including the Series 7, 10, 9, 63 and 65. Charles has previously worked at Brookstreet Securities Corporation, Wachovia Securities, LLC, UBS PaineWebber Inc. and Prudential Securities Incorporated.

Firm Information

Charles Carty is currently registered with Carty Financial, Inc.. Carty Financial, Inc. is an investment advisor that provides financial planning, selection of other advisors, and portfolio management services to high-net-worth individuals and other individuals. They have 102 accounts with regulatory assets under management of $28,930,000.

$28.93M

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Charles Carty’s Registration & Firm History

CA

07/26/2007 - Present

Carty Financial, Inc. (CAMARILLO CA)

CA

06/16/2004 - 07/12/2007

BROOKSTREET SECURITIES CORPORATION (CAMARILLO CA)

MO

11/26/2002 - 06/15/2004

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NJ

11/06/1998 - 12/17/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

08/04/1993 - 11/25/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/23/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/06/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/24/2007

Series 23 - General Securities Principal Sales Supervisor

BC

Issued 01/06/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/16/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/03/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Charles Melvin Carty.
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