Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Smith is a financial advisor at Osaic Wealth, Inc. with over 30 years of experience in the financial services industry. Charles is dedicated to providing personalized financial advice and solutions to help individuals and families achieve their financial goals. Charles has a broad range of experience in various financial services, including portfolio management, financial planning, and insurance sales. Charles is committed to providing exceptional client service and building long-lasting relationships with clients. Charles is licensed to offer financial services in numerous states, including Arizona, California, Colorado, Florida, Hawaii, Idaho, Missouri, New Jersey, Oklahoma, Oregon, South Carolina, Utah, and Washington.
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.
A percentage of the total value of assets under management is charged.
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CA
06/14/2024 - Present
Osaic Wealth, Inc. (LODI CA)
CA
10/20/2017 - 06/14/2024
SECURITIES AMERICA, INC. (LODI CA)
CA
01/07/2013 - 10/26/2017
NATIONAL PLANNING CORPORATION (STOCKTON CA)
CA
09/08/2009 - 01/28/2013
LPL FINANCIAL LLC (STOCKEN CA)
CA
11/21/2008 - 09/08/2009
ASSOCIATED SECURITIES CORP. (STOCKEN CA)
CA
08/03/1990 - 11/25/2008
FSC SECURITIES CORPORATION (STOCKTON CA)
CA
08/02/1988 - 07/26/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
03/01/1983 - 08/24/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
11/13/1980 - 03/29/1983
DEAN WITTER REYNOLDS INC.
NA
01/31/1980 - 12/06/1980
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
02/07/1974 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
05/25/1970 - 04/04/1974
DUPONT WALSTON, INCORPORATED
BC
Issued 03/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 05/18/1970
Series 000 - General Securities Principal Examination
BC
Issued 05/18/1970
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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