Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dolores? Claim Your ProfileDolores B. Charles is a registered representative with Charles Schwab & Co., Inc. Dolores has been in the financial services industry for 16 years, most recently working at USAA Investment Management Company. Dolores is licensed to provide financial advice in the state of Texas and has a number of certifications and licenses, including the Series 6, Series 7, Series 10, Series 24, Series 51, and Series 63, as well as the SIE. Dolores has worked for a number of financial institutions including Charles Schwab & Co., Inc., USAA Investment Management Company, USAA Financial Advisors, Inc., and AllianceBernstein 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
05/23/2020 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
06/27/2012 - 05/24/2020
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
TX
10/22/2010 - 07/11/2012
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
TX
09/28/2004 - 10/06/2010
ALLIANCEBERNSTEIN INVESTMENTS, INC. (SAN ANTONIO TX)
BOTH
Issued 12/1/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/31/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/7/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/6/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/21/2018
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 9/30/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/4/2010
Series 7 - General Securities Representative Examination
BC
Issued 9/27/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Dolores Charles is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
