Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Taylor is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Charles has been in the industry since 2021 and has passed the Series 63, Series 66, Series 7TO and SIE exams. Charles holds active registrations in 35 states and is also registered as an investment advisor representative in Texas and North Carolina. Charles is licensed to offer a wide range of investment services, including portfolio management, investment advice, and financial planning. Charles is a dedicated professional who is committed to providing clients with the highest level of service and expertise. Previous employment included JPMorgan Securities LLC and JPMorgan Chase Bank, N.A..
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
08/23/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NY
10/04/2021 - 06/18/2022
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
BOTH
Issued 02/18/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/15/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/04/2021
Series 7TO - General Securities Representative Examination
BC
Issued 01/08/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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