Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lloyd is a financial professional with over 29 years of experience in the financial services industry. Charles is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative, and is also a Registered Investment Advisor in both Florida and Texas. Charles previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Charles holds several licenses, including Series 7, Series 31, Series 63, and Series 65, and is also a Certified Financial Planner. Charles is committed to providing clients with personalized financial advice and services that meet their unique needs.
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.
Investment consulting services to institutional clients
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.
1
2
FL
02/07/2012 - Present
Wells Fargo Clearing Services, LLC (LAKE MARY FL)
FL
07/11/1994 - 02/03/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HEATHROW FL)
IA
Issued 09/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/08/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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