Unclaimed
Charles Paul Topp is a financial professional with over 25 years of experience in the industry. Charles has a wide range of experience in investment advisory and brokerage services. Charles has been associated with Wells Fargo Clearing Services, LLC since 2016. Charles also has prior experience at LPL Financial LLC and BB&T Investment Services, INC. Charles holds licenses for both securities and investment advisory. Charles has a reputation for providing personalized and comprehensive financial advice. 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
WV
02/12/2015 - Present
Wells Fargo Clearing Services, LLC (CHARLESTON WV)
NC
10/04/2013 - 12/24/2014
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
02/06/2004 - 09/25/2013
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MA
11/03/1998 - 02/04/2004
J. P. MORGAN INVEST, LLC (BOSTON MA)
WV
07/02/1997 - 09/29/1998
CITY FINANCIAL CORPORATION (CHARLESTON WV)
NY
09/18/1996 - 05/29/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
FL
10/17/1995 - 09/03/1996
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
IA
Issued 01/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/13/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/21/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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