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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Esquivel is a financial advisor at Morgan Stanley, with over 25 years of experience in the financial industry. Charles Esquivel is a Series 7 and Series 63 registered representative. Charles Esquivel has experience working with insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Charles Esquivel is also a registered Investment Advisor Representative in Texas, which means Charles Esquivel can provide financial advice to clients in the state.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (Dallas TX)
TX
05/11/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DALLAS TX)
TX
08/14/2000 - 05/25/2007
UBS FINANCIAL SERVICES INC. (DALLAS TX)
NY
10/21/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
MO
04/08/1997 - 10/29/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 04/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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