Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Peter Wallace is a registered representative of Oppenheimer & Co. Inc. Charles has been in the securities industry for over 30 years, with experience in both broker-dealer and investment advisory roles. Charles has held registrations with several firms over the years, including Morgan Stanley, Citigroup Global Markets Inc., Wachovia Securities Financial Network, LLC, and Raymond James Financial Services, Inc. Charles is a Series 63, 65, 7, 9, 10, 31, and SIE licensed representative and has experience in working with individuals, high-net-worth individuals, businesses, and pension and profit sharing plans.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
05/17/2017 - Present
Oppenheimer & Co. Inc. (VERO BEACH FL)
FL
06/01/2009 - 07/23/2013
MORGAN STANLEY (MIAMI BEACH FL)
FL
07/25/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MIAMI BEACH FL)
FL
06/25/2003 - 07/30/2008
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (MIAMI BEACH FL)
FL
08/01/2002 - 06/25/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
FL
07/06/1992 - 08/09/2002
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
IA
Issued 12/10/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 07/01/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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