Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Carroll is a financial advisor with Wells Fargo Clearing Services, LLC. Charles has been in the industry since 2003 and has a strong track record of providing financial advice to individuals and businesses. Charles has worked for several firms including UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Charles is registered in 25 states and is a Registered Representative and Investment Advisor Representative. Charles is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
TX
06/26/2015 - Present
Wells Fargo Clearing Services, LLC (WACO TX)
TX
11/03/2008 - 07/07/2015
UBS FINANCIAL SERVICES INC. (WACO TX)
NY
04/02/2007 - 10/28/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
09/21/2005 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
08/25/2003 - 07/08/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
11/20/2001 - 01/10/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 08/13/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2007
Series 4 - Registered Options Principal Examination
BC
Issued 10/03/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/28/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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