Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Nicolas Patti is a financial advisor with UBS Financial Services Inc. located in Nashville, TN. Charles has been in the financial services industry since 1992. Charles has a Series 6, 7, 9, 10, 63 and SIE license. In addition to his current position with UBS Financial Services Inc., Charles has worked with several other firms including Wachovia Securities, LLC, First Union Brokerage Services, Inc., Marketing One Securities, Inc., 440 Financial Distributors, Inc., Allmerica Investments, Inc., and John Hancock Distributors, Inc. Charles's main area of focus is in retirement planning and investment 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.
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
05/31/2006 - Present
UBS Financial Services Inc. (NASHVILLE TN)
CT
10/01/2000 - 05/03/2006
WACHOVIA SECURITIES, LLC (PROSPECT CT)
NC
05/20/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
OR
10/05/1994 - 10/11/1995
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
ME
02/28/1994 - 05/20/1994
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MA
02/08/1993 - 03/04/1994
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
MA
04/26/1991 - 03/12/1993
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
04/26/1991 - 03/12/1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
BC
Issued 05/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/11/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1998
Series 7 - General Securities Representative Examination
BC
Issued 04/23/1991
Series 6 - Investment Company Products/Variable Contracts Representative 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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