Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chuck? Claim Your ProfileChuck Roberts is a financial advisor with over 30 years of experience in the industry. Chuck is registered with Stifel, Nicolaus & Company, Inc. in Florida, New York, and Texas. Chuck is a Series 7, 31, and 63 licensed professional and also holds a Series 65 license. Chuck has previously held positions at Morgan Stanley, Citigroup Global Markets Inc., Oppenheimer & Co. Inc., CIBC World Markets Corp., M. J. Whitman, Inc., PaineWebber Incorporated, and Lehman Brothers Inc. Chuck's specializations include portfolio management for individuals, businesses, and pooled investment vehicles, financial planning, 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.
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
NY
04/11/2019 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
06/01/2009 - 03/21/2016
MORGAN STANLEY (NEW YORK NY)
NY
03/04/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/03/2003 - 03/14/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
11/04/1998 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
08/18/1995 - 10/27/1998
M. J. WHITMAN, INC. (NEW YORK NY)
NJ
05/22/1992 - 08/07/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/21/1990 - 06/04/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/28/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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