Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Upchurch is an investment professional with over 25 years of experience in the financial services industry. Charles Upchurch is currently registered with LPL Financial LLC in Fort Mill, South Carolina. Charles Upchurch previously worked with TD Ameritrade, Inc., TD Ameritrade Clearing, Inc., Scottrade, Inc., National Investor Services Corp., Datek Online Financial Services LLC and Ameritrade. Charles Upchurch holds Series 4, 7, 24, 55, 63, 66, 99TO and SIE licenses and is licensed to conduct business in South Carolina.
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.
Consulting and other non-discretionary advisory services
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
SC
06/29/2021 - Present
LPL Financial LLC (FORT MILL SC)
NE
01/29/2008 - 06/08/2021
TD AMERITRADE, INC. (OMAHA NE)
NE
03/29/2000 - 06/08/2021
TD AMERITRADE CLEARING, INC. (OMAHA NE)
MO
09/20/2017 - 09/10/2018
SCOTTRADE, INC. (ST. LOUIS MO)
NE
02/28/2006 - 09/14/2007
NATIONAL INVESTOR SERVICES CORP. (BELLEVUE NE)
NJ
09/11/2002 - 10/25/2002
DATEK ONLINE FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NE
02/12/1997 - 12/31/2001
AMERITRADE (BELLEVUE NE)
NE
01/21/1997 - 02/07/1997
SECURITIES AMERICA, INC. (LAVISTA NE)
BOTH
Issued 04/26/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/24/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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