Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Goffin is a financial advisor with over 27 years of experience in the industry. Charles currently works as a Registered Representative and Investment Advisor Representative at Wells Fargo Clearing Services, LLC. Charles has been registered in the states of California and Texas. Charles is a licensed Series 7, Series 31, and Series 63 and 65. Charles has previously worked at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Charles is a licensed investment advisor and specializes in portfolio management for businesses and individuals, as well as providing financial planning services.
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
CA
11/11/2010 - Present
Wells Fargo Clearing Services, LLC (MISSION VIEJO CA)
CA
06/01/2009 - 11/18/2010
MORGAN STANLEY SMITH BARNEY (IRVINE CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (IRVINE CA)
CA
06/15/1995 - 04/02/2007
MORGAN STANLEY DW INC. (IRVINE CA)
IA
Issued 07/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 06/14/1995
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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