Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Dubey is a financial advisor with over 15 years of experience in the industry. Charlotte is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at Wells Fargo Advisors, Wells Fargo Investments, LLC, Wells Fargo Securities Inc., and Salomon Smith Barney Inc.. Charlotte offers a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
12/19/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SACRAMENTO CA)
CA
03/12/2012 - 12/07/2016
WELLS FARGO ADVISORS (EL DORADO HILLS CA)
CA
05/02/2001 - 05/03/2006
WELLS FARGO INVESTMENTS, LLC (ROSEVILLE CA)
CA
03/19/2001 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
01/08/2001 - 04/10/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 05/26/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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