Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lynn Charlton is a financial professional with over 30 years of experience in the industry. David Charlton is currently registered with Raymond James & Associates, Inc. in Huntsville, AL and has previously been registered with BBVA Securities Inc. and BBVA Compass Investment Solutions, Inc in Huntsville, AL as well as Compass Brokerage, Inc. in Birmingham, AL. David Charlton holds Series 7, Series 52, Series 52TO and SIE licenses. David Charlton is also a specialist in various aspects of financial planning, including insurance companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities.
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.
Please see note in schedule d - miscellaneous
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
AL
11/25/2014 - Present
Raymond James & Associates, Inc. (HUNTSVILLE AL)
AL
05/04/2012 - 11/12/2014
BBVA SECURITIES INC. (HUNTSVILLE AL)
AL
01/03/2008 - 07/26/2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC (HUNTSVILLE AL)
AL
11/25/1987 - 07/25/1996
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
BC
Issued 07/02/1987
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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