Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Umbert Sullivan is a financial advisor at Stifel, Nicolaus & Company, Inc. Charles has been a financial advisor for over 23 years and has a proven track record of success. Charles holds the Series 63, Series 7, and SIE licenses. Charles has also been registered with the state of New York since 2019. Charles specializes in providing financial planning and investment advice to individuals, families, and businesses. Charles also works with clients on retirement planning, college savings, and estate planning. Charles is committed to providing personalized service and helping clients 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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
10/02/2012 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
GA
09/14/2009 - 11/10/2011
TRIAD ADVISORS, INC. (ATLANTA GA)
TX
02/13/2007 - 09/27/2007
LINSCO/PRIVATE LEDGER CORP. (HOUSTON TX)
TX
08/13/2001 - 03/05/2007
UVEST FINANCIAL SERVICES GROUP, INC. (HOUSTON TX)
TX
05/14/1996 - 03/14/2001
AMHERST SECURITIES GROUP, L.P. (AUSTIN TX)
BC
Issued 03/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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