Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Walsh is a financial advisor with Prudential Investment Management Services LLC in New York, NY. Charlotte has been in the financial services industry since 2008 and is registered with FINRA and licensed in 53 states. Charlotte holds the Series 63, Series 65, Series 7, and SIE licenses. Charlotte previously worked at Legg Mason Investor Services, LLC in San Mateo, CA, Putnam Retail Management Limited Partnership in Boston, MA, and Silver Leaf Partners, LLC in New York, NY.
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.
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.
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2
NY
10/14/2020 - Present
Prudential Investment Management Services LLC (NEW YORK NY)
CA
02/22/2017 - 06/09/2020
LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)
MA
02/16/2012 - 01/09/2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
NY
11/11/2009 - 09/09/2011
SILVER LEAF PARTNERS, LLC (NEW YORK NY)
BC
Issued 06/05/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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