Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Smith is a financial advisor with over 18 years of experience in the industry. Charles currently works at Wells Fargo Advisors Financial Network, LLC and has a strong track record of providing personalized financial advice and investment management services to clients. Charles has held a variety of positions at different firms throughout his career, including roles at Wells Fargo Clearing Services, LLC, Fidelity Investments Institutional Services Company, Inc., UMB Financial Services, Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. Charles holds various industry licenses, including Series 7, 9, 10, 24, 51, 63, and 65. Charles is dedicated to helping clients achieve their financial goals.
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
MT
02/05/2024 - Present
Wells Fargo Advisors Financial Network, LLC (BOZEMAN MT)
MO
08/10/2016 - 10/04/2023
WELLS FARGO CLEARING SERVICES, LLC (CHESTERFIELD MO)
MO
11/08/2013 - 01/07/2016
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CHESTERFIELD MO)
MO
06/23/2009 - 10/07/2013
UMB FINANCIAL SERVICES, INC. (ST. LOUIS MO)
MO
06/01/2009 - 06/23/2009
MORGAN STANLEY SMITH BARNEY (CHESTERFIELD MO)
MO
01/14/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHESTERFIELD MO)
IA
Issued 08/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/2014
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/04/2013
Series 24 - General Securities Principal Examination
BC
Issued 08/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 01/13/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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