Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Sleeth is a financial advisor with Ameriprise Financial Services, LLC based in Charlotte, North Carolina. Charles has been working in the financial industry since 1993 and has a wide range of experience. Charles has been registered as a Broker-Dealer and Investment Advisor representative in all 50 states, the District of Columbia, and Puerto Rico. Charles holds multiple industry licenses, including Series 7, 63, 65, and 66. Charles is also a Certified Financial Planner.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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2
NC
02/11/2025 - Present
Ameriprise Financial Services, LLC (Charlotte NC)
NC
10/15/2008 - 06/08/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
01/03/2006 - 07/14/2008
E*TRADE SECURITIES LLC (CHARLOTTE NC)
NJ
04/17/2000 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
NC
03/16/1995 - 03/16/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MO
08/31/1992 - 01/23/1995
TWENTIETH CENTURY SECURITIES, INC. (KANSAS CITY MO)
NY
07/05/1991 - 07/18/1991
HIBBARD BROWN & CO., INC. (NEW YORK NY)
BOTH
Issued 11/12/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/28/2007
Series 4 - Registered Options Principal Examination
BC
Issued 12/06/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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