Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Michael Harvey is a financial advisor with over 37 years of experience in the industry. Charles is currently registered with Ameriprise Financial Services, LLC. Charles is licensed in 21 states, including CT, FL and TX.
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.
Asset allocation services
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.
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2
MA
02/11/2016 - Present
Ameriprise Financial Services, LLC (Hingham MA)
MA
10/10/2008 - 11/20/2015
UBS FINANCIAL SERVICES INC. (ROCKLAND MA)
MA
03/05/2004 - 10/13/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROCKLAND MA)
PA
02/04/1999 - 04/02/2004
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
05/26/1995 - 12/23/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/06/1993 - 05/25/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
11/19/1990 - 04/21/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/05/1988 - 11/21/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/25/1985 - 06/08/1988
PAINEWEBBER INCORPORATED
IA
Issued 09/03/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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