Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Scholes is a financial professional with over two decades of experience in the industry, beginning his career in 1999. He is currently registered with Truist Securities, Inc. and has held previous positions at firms such as FBR Capital Markets & Co., J.P. Morgan Securities Inc., Harris Nesbitt Corp., Thomas Weisel Partners LLC, AXA Advisors, LLC, and The Equitable Life Assurance Society of the United States. Charles Scholes holds a variety of licenses and certifications, including Series 6, 7, 63, 65, 86, 87, and SIE, reflecting a breadth of experience in investment products and strategies.
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.
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.
1
2
NY
07/16/2012 - Present
Truist Securities, Inc. (NEW YORK NY)
NY
06/26/2008 - 07/11/2012
FBR CAPITAL MARKETS & CO. (NEW YORK NY)
NY
04/29/2005 - 06/25/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
07/16/2004 - 04/28/2005
HARRIS NESBITT CORP. (NEW YORK NY)
CA
04/17/2000 - 04/30/2002
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
07/10/1997 - 04/25/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
07/10/1997 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BC
Issued 01/03/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/25/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/03/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/09/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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