Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Anderson is a financial advisor with UBS Financial Services Inc. Charles has over 50 years of experience in the financial industry. Charles is registered in 39 states as a Broker-Dealer and 3 states as an Investment Advisor. Charles is a Series 63 and 65 licensed professional.
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.
See schedule d - miscellaneous
1
2
MD
06/08/2009 - Present
UBS Financial Services Inc. (BETHESDA MD)
MD
02/21/2006 - 04/15/2009
CITIGROUP GLOBAL MARKETS INC. (GAITHERSBURG MD)
MD
12/21/1994 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
07/31/1993 - 12/13/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
04/27/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/30/1978 - 06/06/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
09/21/1972 - 09/22/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 05/06/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/29/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/18/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1989
PC - AMEX Put and Call Exam
BC
Issued 09/18/1972
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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