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. Northrup is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been in the financial services industry for over 20 years and has a broad range of experience in the industry. Charles's previous employers include BANC of AMERICA INVESTMENT SERVICES, INC. and QUICK & REILLY, INC. Charles is licensed to provide investment advice in multiple states. Charles has passed the Series 63, Series 65, Series 7, Series 9, and Series 10 exams.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MA
02/11/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/05/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
06/12/2000 - 09/06/2000
BANKBOSTON INVESTOR SERVICES, INC. (BOSTON MA)
IA
Issued 10/18/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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