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. Spencer is a registered investment advisor representative with Morgan Stanley in Newport News, Virginia. Charles has been in the financial services industry for over 30 years, and is registered with the Securities and Exchange Commission and the Financial Industry Regulatory Authority. Charles also holds Series 7, 63, 31, and SIE licenses. In addition to the services offered by Morgan Stanley, Charles also provides trust and estate administration services.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
VA
06/01/2009 - Present
Morgan Stanley (Newport News VA)
VA
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT NEWS VA)
MD
02/22/1993 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 04/30/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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