Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Maxim is an investment advisor representative with LPL Financial LLC. Charles has been in the industry since October 1993. Charles is licensed in 16 states and is registered with FINRA and the state of Ohio. Charles holds Series 6, 7, 24, 31, and SIE licenses. Charles has been with LPL Financial LLC since March 2001. Prior to that, Charles was with Donahue Securities, Inc. Charles provides consulting and other non-discretionary advisory services, financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for businesses and individuals. Charles has over 30 years of experience in the financial services industry and is committed to 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.
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
OH
03/29/2001 - Present
LPL Financial LLC (MASON OH)
OH
10/27/1993 - 03/06/2001
DONAHUE SECURITIES, INC. (CINCINNATI OH)
BC
Issued 02/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/24/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/26/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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