Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Winn is an investment advisor representative with J.p. Morgan Securities LLC based in Los Angeles, California. Charles has been active in the financial services industry since 2002. Charles Winn has experience working at City National Securities, Inc. and Goldman, Sachs & Co. in the past. Charles Winn is licensed to offer investment advice in all 50 states and Puerto Rico. Charles has earned the Series 3, 7, 63, 65, 66, and SIE licenses. Charles is also a Chartered Financial Analyst.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/29/2023 - Present
J.p. Morgan Securities LLC (Los Angeles CA)
NY
01/08/2014 - 01/29/2016
CITY NATIONAL SECURITIES, INC. (NEW YORK NY)
NY
02/28/2005 - 12/09/2013
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
08/30/2001 - 02/24/2005
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
BC
Issued 09/06/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 08/14/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/15/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/29/2016
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2006
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/2001
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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