Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles William Rawl is a financial professional with over 28 years of experience in the financial services industry. Charles is currently a Registered Representative and Investment Advisor Representative with Sunbelt Securities, Inc. Charles previously held similar positions with USF Securities, L.P., Puritan Securities, Inc., Stanford Group Company, UBS Financial Services Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Charles holds a Series 6, Series 7, Series 31, Series 63, Series 65, Series 79TO and Series 99TO. Charles has earned designations as a Certified Financial Planner and Chartered Financial Consultant. Charles William Rawl's areas of specialization include financial planning, investment management, and retirement planning.
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.
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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2
TX
11/01/2024 - Present
Sunbelt Securities, Inc. (HOUSTON TX)
TX
01/08/2008 - 02/20/2009
USF SECURITIES, L.P. (HOUSTON TX)
CT
12/20/2007 - 07/07/2008
PURITAN SECURITIES, INC. (SHELTON CT)
TX
05/13/2005 - 01/15/2008
STANFORD GROUP COMPANY (HOUSTON TX)
NJ
04/12/2001 - 05/27/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
11/21/1997 - 04/25/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/10/1995 - 11/13/1997
NYLIFE SECURITIES INC. (NEW YORK NY)
IA
Issued 12/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 10/22/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/09/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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