Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Painter is a financial advisor with over 7 years of experience in the financial services industry. Charlotte holds a Series 7, Series 24, Series 63, and Series 65 licenses. Charlotte is registered with Morgan Stanley and provides financial advice to individuals, families, businesses, and institutions. Charlotte is a Certified Financial Planner. Charlotte has been registered with Morgan Stanley since February of 2021, and previously worked at J.P. Morgan Securities LLC, Royal Alliance Associates, Inc., LPL Financial LLC, and Amegy Investments, Inc.
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.
Strategic management for diversified investment portfolios.
Asset allocation 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.
Earned based on transactions or products sold.
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.
See schedule d miscellaneous
1
2
UT
04/26/2021 - Present
Morgan Stanley (Salt Lake City UT)
UT
01/11/2019 - 02/12/2021
J.P. MORGAN SECURITIES LLC (Salt Lake City UT)
UT
09/14/2017 - 01/03/2019
ROYAL ALLIANCE ASSOCIATES, INC. (SALT LAKE CITY UT)
SC
03/25/2015 - 09/12/2017
LPL FINANCIAL LLC (FORT MILL SC)
TX
01/12/2016 - 06/01/2016
AMEGY INVESTMENTS, INC. (HOUSTON TX)
BC
Issued 11/21/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/19/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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