Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Neivert is a financial advisor with over 25 years of experience in the industry. Charles currently works at Piper Sandler & Co., a firm with over $1 billion to $10 billion in assets under management. Charles has been registered with FINRA since 2021. Before that, he worked at Cowen and Company, Cowen Securities LLC, Morgan Stanley & Co. Incorporated, New Vernon Securities, LLC, and PCS Securities, Inc. Charles specializes in portfolio management for businesses, analytical reports and public finance consulting.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
NY
07/01/2021 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
05/20/2013 - 02/04/2020
COWEN AND COMPANY (NEW YORK NY)
NY
05/27/2009 - 06/03/2013
COWEN SECURITIES LLC (NEW YORK NY)
NY
09/13/2006 - 05/12/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NJ
05/07/1998 - 09/08/2006
NEW VERNON SECURITIES, LLC (PARSIPPANY NJ)
CA
05/10/1994 - 05/01/1998
PCS SECURITIES, INC. (SAN DIEGO CA)
NA
09/06/1990 - 03/23/1992
ANANTHA RAMAN & COMPANY, INC.
BC
Issued 10/09/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/29/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/23/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/04/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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