Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Moody is a financial advisor with over 25 years of experience in the industry. Charles is currently registered with Citigroup Global Markets Inc. Charles has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fidelity Brokerage Services LLC, MML Investors Services, Inc. Charles has a broad range of experience and holds multiple licenses, including Series 6, 7, 9, 10, 24, 26, 31, 52, 53, 63, and 65. Charles specializes in portfolio management for individuals and businesses, asset allocation advice, and financial planning.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
FL
08/12/2022 - Present
Citigroup Global Markets Inc. (Jacksonville FL)
FL
08/21/2013 - 08/08/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
FL
11/11/2010 - 07/15/2013
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
FL
09/08/2008 - 05/05/2010
MML INVESTORS SERVICES, INC. (JACKSONVILLE FL)
FL
06/04/2003 - 08/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
MN
10/29/2002 - 04/25/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/29/2002 - 04/25/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
FL
10/21/1998 - 12/19/2001
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
MD
02/08/1995 - 10/22/1998
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 12/1/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 6/22/2007
Series 24 - General Securities Principal Examination
BC
Issued 3/16/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/14/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/28/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 3/22/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/19/1997
Series 7 - General Securities Representative Examination
BC
Issued 2/7/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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