Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Moreau is a financial professional with over 15 years of experience in the industry. Charles is currently registered with Oppenheimer & Co. Inc., a leading investment firm. Previously, Charles held positions at ITG INC., KCG AMERICAS LLC, KNIGHT CAPITAL AMERICAS, L.P., and WJB CAPITAL GROUP, INC. Charles has a strong background in securities and has earned numerous licenses, including the Series 7, Series 10, Series 24, Series 63, Series 66, Series 79, Series 86 and Series 87. Charles has experience working with a diverse clientele, including high-net-worth individuals, corporations, and institutions. Charles focuses on providing financial planning, portfolio management, and investment advisory services to clients.
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.
1
2
NY
05/24/2017 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
09/23/2014 - 04/03/2017
ITG INC. (NEW YORK NY)
NY
07/02/2012 - 09/15/2014
KCG AMERICAS LLC (NEW YORK NY)
NJ
03/21/2012 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NY
02/19/2008 - 01/12/2012
WJB CAPITAL GROUP, INC. (NEW YORK NY)
WI
02/09/2004 - 04/29/2005
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 03/07/2008
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/01/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/16/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2012
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/28/2011
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/12/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 02/06/2004
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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