Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Stuart Hartwick is a financial advisor who has been in the industry since 2012. Currently, Charles Hartwick is registered with Houlihan Lokey Capital, Inc. and has a Series 79 and Series 63 license. Previously, Charles Hartwick was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Charles Hartwick is currently registered in New York.
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.
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.
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CA
09/07/2021 - Present
Houlihan Lokey Capital, Inc. (LOS ANGELES CA)
CA
09/03/2012 - 07/02/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
BC
Issued 08/17/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/07/2021
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/01/2012
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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