Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Janice? Claim Your ProfileJanice S. Charles is a financial advisor with over 30 years of experience in the financial services industry. Janice is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2013. Janice holds the Series 7, Series 63, Series 53 and SIE licenses, as well as the Series 65 license. Janice is also a Certified Financial Planner™. Previously, Janice was registered with Fidelity Brokerage Services LLC, Northwestern Mutual Investment Services, LLC, USI Securities, Inc. and Jefferson Pilot Securities Corporation.
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.
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.
Investment consulting services to institutional clients
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
FL
08/14/2019 - Present
Wells Fargo Clearing Services, LLC (NAPLES FL)
CT
08/03/2011 - 05/09/2013
FIDELITY BROKERAGE SERVICES LLC (NEW HAVEN CT)
CT
10/08/2009 - 07/19/2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HAMDEN CT)
CT
03/26/2009 - 04/02/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (WEST HARTFORD CT)
CT
05/16/2001 - 10/04/2005
USI SECURITIES, INC. (GLASTONBURY CT)
IN
07/08/2000 - 05/14/2001
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
NH
02/14/1990 - 07/08/2000
POLARIS FINANCIAL SERVICES, INC. (CONCORD NH)
NA
11/02/1987 - 12/20/1989
BROAD REACH CAPITAL, INC.
NA
02/05/1985 - 01/01/1986
ARBOUR SECURITIES, INC.
NA
03/07/1984 - 12/31/1984
ARBOUR SECURITIES, INC.
BC
Issued 07/11/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/1984
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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