Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Wheatley is a financial professional with over six years of experience in the industry. Charles is currently registered with Drivewealth, LLC, and is a licensed securities agent in California, New Jersey, and New York. Charles has previously worked at several prominent financial institutions, including BOFA Securities, Inc., Houlihan Lokey Capital, Inc., Houlihan Lokey Advisors, LLC, and Nomura Securities International, Inc. Charles holds Series 63, Series 79, and SIE licenses.
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.
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2
NY
06/02/2023 - Present
Drivewealth, LLC (New York NY)
CA
10/23/2022 - 05/25/2023
BOFA SECURITIES, INC. (SAN FRANCISCO CA)
CA
12/06/2021 - 08/29/2022
HOULIHAN LOKEY CAPITAL, INC. (San Francisco CA)
CA
12/02/2020 - 08/29/2022
HOULIHAN LOKEY ADVISORS, LLC (SAN FRANCISCO CA)
NY
04/23/2018 - 11/12/2020
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
FL
06/05/2017 - 06/19/2018
TRUMP SECURITIES, LLC (BOCA RATON FL)
BC
Issued 09/27/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2017
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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