Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Patton is an investment advisor representative with Fidelity Personal And Workplace Advisors. Charles has been in the financial services industry since November 6, 1986. Charles has a Series 63 license and a Series 65 license. Charles is registered with FINRA and the state of New York.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
12/06/2023 - Present
Fidelity Personal AND Workplace Advisors (SCARSDALE NY)
NY
10/06/2015 - 08/03/2022
CHARLES SCHWAB & CO., INC. (New York City NY)
NJ
04/16/2010 - 09/10/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
05/02/2006 - 06/25/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
11/17/1992 - 05/01/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/03/1987 - 11/19/1992
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
12/17/1985 - 04/13/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 04/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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