Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Rudolph Walters has been in the financial services industry since October 14, 2008. Charles is registered as a Registered Representative with Principal Advised Services in Charlotte, North Carolina. Charles also has experience with Wells Fargo Clearing Services, LLC and Vanguard Marketing Corporation.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
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NC
06/21/2024 - Present
Principal Advised Services (CHARLOTTE NC)
NC
10/15/2019 - 04/08/2021
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
02/05/2007 - 02/22/2018
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 05/08/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/22/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2009
Series 7 - General Securities Representative Examination
BC
Issued 02/02/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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