Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Carpenter is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been in the financial services industry since July 25, 1988 and has held previous roles at American Express Financial Advisors Inc. and IDS Life Insurance Company. Charles holds Series 7, 63 and 65 licenses and has been registered in numerous states throughout the United States. Charles has worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since November 1990 and is currently registered as a Registered Representative in Florida and as a Registered Representative Resident in Texas. Charles is a specialist in providing financial advice to a wide range of clients, including individuals, corporations, businesses, insurance companies, charitable organizations, 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.
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
FL
11/06/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARASOTA FL)
MN
07/19/1988 - 11/06/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/19/1988 - 11/06/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 09/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1988
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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