Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Grohs is a financial advisor with over 30 years of experience in the financial services industry. Charles is registered with Morgan Stanley and has held previous positions at Charles Schwab & Co., Inc., Essex National Securities, Inc., Montgomery Securities, Expansion Capital Securities, National Securities Corporation, Harper, McLean & Company and Pacific Growth Securities, Inc.. Charles has earned the Series 63, Series 9, Series 10, Series 8 and Series 7 licenses. Charles is also a committee member for the Diocese of Santa Rosa. Charles currently provides services to individuals, high net worth individuals, corporations or other businesses, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, banking or thrift institutions, state or municipal government entities, and other investment clubs.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/24/2020 - Present
Morgan Stanley (Napa CA)
CA
10/29/1997 - 01/25/2010
CHARLES SCHWAB & CO., INC. (NAPA CA)
CA
10/24/1996 - 10/22/1997
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
CA
05/26/1995 - 10/11/1996
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
CA
11/13/1992 - 01/31/1994
EXPANSION CAPITAL SECURITIES (SAN FRANCISCO CA)
FL
09/27/1988 - 11/14/1990
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NA
10/06/1986 - 10/01/1988
HARPER, MCLEAN & COMPANY
NA
11/20/1985 - 10/10/1986
PACIFIC GROWTH SECURITIES,INC.
BC
Issued 09/30/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/04/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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