Charles Estes (CRD# 5903937) is an Investment Advisor Representative working at Principal Asset Management in Hyde Park, OH and has over 12 years of experience in the finance industry.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Principal Funds Distributor, Inc. | Cincinatti, OH | Mar 2021 - Current | 3 |
| Buckingham Properties | Cincinatti, OH | Nov 2020 - Mar 2021 | < 1 |
| Stancorp Entities | Cincinatti, OH | Feb 2020 - Oct 2020 | < 1 |
| Buckingham Properties | Cincinatti, OH | Nov 2018 - Feb 2020 | 1 |
| Fidelity Personal And Workplace Advisors | Boston, MA | Jul 2018 - Nov 2018 | < 1 |
| Fidelity Brokerage Services LLC | Covington, KY | Aug 2012 - Nov 2018 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 2011 |
| S66 | NASAA Uniform Combined State Law Examination | Dec 2015 |
- OH
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Total Assets Under Management377,223MILLIONS
-
Total Number of Accounts6,824ACCOUNTS
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Average Account Value$55,278,865
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV, WY
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