Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles R Lewis is a financial advisor at UBS Financial Services Inc. Charles has been in the financial industry since August 1999. Charles holds the Series 7, Series 9, Series 10, and Series 66 licenses and is registered in California, Florida, Illinois, Michigan, and Tennessee. Charles has previously worked at Wachovia Securities Financial Network, LLC, Morgan Stanley DW Inc., Paine Webber Incorporated, and Dean Witter Reynolds Inc. Charles specializes in providing financial advice to individuals, businesses, corporations, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, and insurance companies. Charles is committed to providing personalized financial advice and helping clients reach 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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
05/25/2023 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
MI
02/18/2005 - 04/23/2007
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (BIRMINGHAM MI)
NY
06/14/2000 - 02/22/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
10/04/1999 - 06/09/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/26/1999 - 10/06/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 07/29/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/03/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/18/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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