Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Cato has been in the financial industry for nearly three decades. Charles began his career at Morgan Keegan & Company, Inc. in 1995 and has since worked for several firms including Securities Service Network, LLC and Securities America, Inc. Charles is currently registered with LPL Financial LLC, where he provides investment advisory services to a wide range of clients, including individuals, families, corporations, and charitable organizations. Charles has a strong commitment to providing personalized financial advice and helping his clients reach their financial goals. Charles is dedicated to providing comprehensive financial planning and investment management services to individuals and families. He helps his clients develop a personalized financial plan that addresses their unique needs and goals. Charles is committed to providing his clients with the highest level of service and support.
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
TN
03/27/2024 - Present
LPL Financial LLC (BRENTWOOD TN)
TN
09/18/2020 - 03/27/2024
SECURITIES AMERICA, INC. (Brentwood TN)
TN
07/15/1997 - 09/18/2020
SECURITIES SERVICE NETWORK, LLC (Brentwood TN)
TN
03/27/1995 - 07/18/1997
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
IA
Issued 04/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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