Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Brocato is a financial professional with over a decade of experience in the industry. Charles has worked for several reputable firms, including Kestra Investment Services, LLC, GWFS Equities, Inc., and Financial Telesis Inc. Charles currently works for NFP Retirement Inc. where Charles specializes in providing financial planning, pension consulting, and portfolio management for individuals and businesses. Charles is registered with the state of Georgia as a Registered Investment Advisor and with California and Colorado as a Registered Investment Advisor. Charles holds multiple licenses and certifications including Series 6, 7, 66 and 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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Research reports on 401(k) plans / diligence on investment lineups
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
GA
02/13/2024 - Present
NFP Retirement Inc. (Fortson GA)
CO
04/01/2019 - 01/05/2021
BOK FINANCIAL SECURITIES, INC. (Denver CO)
CO
01/30/2015 - 04/01/2019
KESTRA INVESTMENT SERVICES, LLC (Denver CO)
CO
11/13/2013 - 01/23/2015
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
05/21/2010 - 12/21/2010
FINANCIAL TELESIS INC (DENVER CO)
BOTH
Issued 06/27/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/22/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/19/2010
Series 7 - General Securities Representative Examination
Active
Inactive
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