Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Norris is a financial advisor at Concourse Financial Group Securities, Inc. Charles has been in the financial services industry for over 14 years and is registered in Minnesota. Charles's experience includes working for several large financial institutions including Empower Financial Services, Inc., Prudential Investment Management Services LLC, Prudential Annuities Distributors, Inc, Pruco Securities, LLC., Ameriprise Financial Services, Inc., Oppenheimer & Co. Inc., and UBS Financial Services Inc. Charles offers a variety of services, including financial planning, pension consulting, educational seminars, and portfolio management for both individuals and businesses. Charles specializes in the areas of insurance companies, investment companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
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.
1
2
AL
11/22/2022 - Present
Concourse Financial Group Securities, Inc. (Birmingham AL)
CO
04/04/2022 - 10/14/2022
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
NJ
06/29/2020 - 04/04/2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
CT
06/21/2019 - 07/16/2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
MN
04/16/2015 - 04/10/2020
PRUCO SECURITIES, LLC. (Plymouth MN)
MN
12/16/2013 - 11/21/2014
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
05/07/2010 - 11/19/2013
OPPENHEIMER & CO. INC. (MINNEAPOLIS MN)
MN
05/02/2008 - 05/13/2010
UBS FINANCIAL SERVICES INC. (MINNEAPOLIS MN)
IA
Issued 02/09/2018
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/16/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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