Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Pound is a financial advisor registered with LPL Financial LLC in Danville, California. Charles has been a registered representative since August 1998. Charles is also registered as an Investment Advisor Representative (IAR) and holds Series 7, Series 31, Series 63, and Series 65 licenses. Charles has been in the financial industry since August 1999.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
12/03/2012 - Present
LPL Financial LLC (DANVILLE CA)
IL
01/19/2011 - 12/13/2012
VESTOR CAPITAL SECURITIES, LLC (CHICAGO IL)
IL
08/01/2008 - 01/12/2011
ZACKS & COMPANY (CHICAGO IL)
CA
05/28/2008 - 07/14/2008
TD AMERITRADE, INC. (SAN MATEO CA)
CA
04/20/2007 - 06/19/2007
WACHOVIA SECURITIES, LLC (SAN FRANCISCO CA)
CA
05/01/2003 - 04/23/2007
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
06/19/2001 - 05/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/23/2001 - 06/27/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
10/28/1999 - 03/13/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
08/06/1998 - 10/07/1999
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
IA
Issued 08/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 08/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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