Charles Smith, financial advisor Aspen CO

Charles Smith

CRD Number: 7068313
Current Firm: J.p. Morgan Securities LLC

Charles Smith (CRD# 7068313) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Aspen, CO and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Jpmorgan Chase Bank, N.a. Aspen, CO Apr 2021 - Current 1
J.p. Morgan Securities LLC Aspen, CO Apr 2021 - Current 1
Ally Financial Charlotte, NC Feb 2021 - Mar 2021 < 1
Publix Tuscaloosa, AL Sep 2020 - Jan 2021 < 1
Unemployed Auburn, AL Jun 2020 - Aug 2020 < 1
Lowe's Charlotte, NC Mar 2020 - May 2020 < 1
Cetera Investment Advisers LLC Charlotte, NC Dec 2019 - May 2020 < 1
Cetera Investment Services LLC Charlotte, NC Aug 2019 - May 2020 < 1
Cetera Investors Charlotte, NC Jun 2019 - Dec 2019 < 1
Shipt Shopper Charlotte, NC Apr 2019 - Jun 2019 < 1
Wells Fargo Charlotte, NC Jan 2019 - May 2019 < 1
Wells Fargo Clearing Services, LLC Charlotte, NC Jan 2019 - Mar 2019 < 1
Blue Line Rentals Auburn, AL May 2018 - Jan 2019 < 1
Express Employment Professionals Auburn, AL Aug 2018 - Dec 2018 < 1
Publix Super Markets Tuscaloosa, AL Nov 2016 - Jul 2018 1
University Of Alabama Tuscaloosa, AL Aug 2014 - May 2018 3
Unemployed Auburn, AL Apr 2011 - Jul 2014 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2019
S66 NASAA Uniform Combined State Law Examination Dec 2019
Contact Info for Charles C. Smith
Phone Number: 800-999-2000
Registered State(s):
  • CO
  • NC
By the Numbers
  • Total Assets Under Management
    229,725
    MILLIONS
  • Total Number of Accounts
    856,594
    ACCOUNTS
  • Average Account Value
    $268,184
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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