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 an investment advisor representative at Oppenheimer & Co. Inc. with over 30 years of experience in the financial industry. Charles has been with Oppenheimer & Co. Inc. since August 2013. Charles is registered with FINRA and holds the following licenses: Series 7, Series 9, Series 10, Series 31, Series 63 and Series 65. Charles has worked for a number of other firms throughout his career, including Morgan Stanley, Citigroup Global Markets Inc., Wachovia Securities Financial Network, LLC, Raymond James Financial Services, Inc. and Raymond James & Associates, Inc.
VERO BEACH, FL
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.
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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 7/8/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/6/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/19/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 7/1/1992
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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