Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlton? Claim Your ProfileCharlton Kenneth Rochester is a financial advisor who has been in the industry since 1998. Charlton is currently registered with LPL Financial LLC in Madison, Alabama. Charlton also has previous registration history with RAYMOND JAMES FINANCIAL SERVICES, INC. and MORGAN STANLEY DW INC.. Charlton has licenses for Series 31, Series 63, Series 7, Series 65 and SIE. Charlton offers a variety of services to individuals, businesses, and other entities, including financial planning, portfolio management, and educational seminars.
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.
Consulting and other non-discretionary advisory services
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.
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2
AL
09/25/2007 - Present
LPL Financial LLC (MADISON AL)
AL
12/18/2002 - 09/24/2007
RAYMOND JAMES FINANCIAL SERVICES, INC. (DECATUR AL)
NY
03/13/1998 - 11/25/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 03/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/12/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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