Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Trask Dix is a financial advisor with over 38 years of experience in the industry. Charles is currently a Senior Managing Director at U.S. Capital Wealth Advisors, LLC. Charles has previously worked at WELLS FARGO ADVISORS, LLC and MORGAN STANLEY DW INC.. Charles has a wide range of experience and expertise in the financial services industry, including securities, investments, and financial planning. Charles is registered with FINRA and is a member of the Securities Industry Essentials Examination (SIE).
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
06/30/2021 - Present
U.s. Capital Wealth Advisors, LLC (AUSTIN TX)
TX
04/29/2005 - 03/08/2016
WELLS FARGO ADVISORS, LLC (DALLAS TX)
NY
08/22/1984 - 05/03/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 01/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/1991
Series 15 - Foreign Currency Options Examination
BC
Issued 05/06/1991
Series 5 - Interest Rate Options Examination
BC
Issued 06/25/1990
Series 3 - National Commodity Futures Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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