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 Shirey is a financial advisor registered with Stifel, Nicolaus & Company, Inc., and has been in the financial services industry since September 2, 1998. Charles is licensed in both Iowa and Texas, and has a wide range of experience in providing financial advice to individuals, businesses and institutions. Charles has a strong track record of success in helping clients achieve their financial goals, and is committed to providing personalized service and attention to detail. Stifel, Nicolaus & Company, Inc., is a leading financial services firm that offers a wide range of products and services to individual and institutional investors.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IA
08/14/2009 - Present
Stifel, Nicolaus & Company, Inc. (WATERLOO IA)
IA
08/12/2006 - 08/14/2009
UBS FINANCIAL SERVICES INC. (WATERLOO IA)
IA
09/03/1998 - 08/12/2006
PIPER JAFFRAY & CO. (WATERLOO IA)
IA
Issued 08/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/07/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/28/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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