Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Hollis is a financial advisor with over 30 years of experience in the industry. Charles has been with UBS Financial Services Inc. since 2008. Prior to that, Charles worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from 2000 to 2008, NYLIFE SECURITIES INC. from 1986 to 1994, and E. F. HUTTON & COMPANY INC from 1983 to 1986. Charles offers a variety of financial services including financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals. Charles is registered in 20 states and holds multiple licenses and designations.
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.
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.
See schedule d - miscellaneous
1
2
TN
12/16/2008 - Present
UBS Financial Services Inc. (Franklin TN)
TN
07/19/2000 - 12/04/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BRENTWOOD TN)
NA
02/13/1986 - 04/13/1994
NYLIFE SECURITIES INC.
NA
03/01/1983 - 02/04/1986
E. F. HUTTON & COMPANY INC
BOTH
Issued 08/03/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/04/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/05/1983
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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