Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Guittari is a financial professional with over 6 years of experience in the financial services industry. Charles is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds the Series 7 and Series 66 licenses as well as the Securities Industry Essentials Examination (SIE). Charles is also a registered investment advisor in California. Previously, Charles held positions at TD Ameritrade, Inc., E*TRADE Securities LLC, and First Republic Securities Company, LLC. Charles has a diverse background in financial services, having worked in various roles at different firms. Charles provides a wide range of services to clients, including portfolio management for individuals and businesses, as well as pension consulting and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/18/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
06/15/2021 - 06/22/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
07/23/2019 - 06/10/2021
E*TRADE SECURITIES LLC (CUPERTINO CA)
CA
02/26/2018 - 07/22/2019
TD AMERITRADE, INC. (FREMONT CA)
CA
06/29/2017 - 02/26/2018
SCOTTRADE, INC. (SAN MATEO CA)
BOTH
Issued 08/03/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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