Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Sauter is a financial advisor with Nuveen Asset Management, LLC. Charles has been in the industry for 30+ years, with experience at several firms including Lehman Brothers Inc., Smith Barney Inc., and Flagship Funds Inc. Charles has an active Series 24 General Securities Principal Examination license. Charles is a registered investment advisor in Arizona, California, and Texas, and is licensed to provide investment advice in several other states.
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.
Guidance on pension options to ensure a secure financial future.
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.
Strategic management for diversified investment portfolios.
Model portfolio advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
09/01/2011 - Present
Nuveen Asset Management, LLC (CHICAGO IL)
OH
08/26/1994 - 01/01/1997
FLAGSHIP FUNDS INC. (DAYTON OH)
NY
07/31/1993 - 06/10/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
08/08/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MN
07/12/1991 - 07/22/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/12/1991 - 07/22/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 04/29/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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