Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Warren Roan is a registered representative with Smbc Nikko Securities America, Inc. with over 13 years of experience in the securities industry. Charles has a Series 7, Series 63 and Series 79TO licenses and has been active in the securities industry since March 31, 2010. Charles is registered to sell securities in all 50 states and the District of Columbia.
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.
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.
1
2
NY
04/13/2020 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
05/08/2015 - 06/22/2018
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
01/11/2013 - 04/24/2015
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/27/2009 - 12/13/2011
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
01/18/2007 - 07/16/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 05/31/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/22/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure Charles Roan is the right advisor for you? Invested Better is here to help.
