Charles SinclairCRD Number: 1294294
Current Firm: Stifel, Nicolaus & Company, Incorporated
Charles Sinclair (CRD# 1294294) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Saint Joseph, MO and has over 33 years of experience in the finance industry. Charles Sinclair has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Family Investment Center
Sagepoint Financial, Inc.
Berthel Fisher & Company Financial Services, Inc.
|Stifel, Nicolaus & Company, Incorporated||Saint Joseph, MO||May 2012 - Current||5|
|Raymond James Financial Services Advisors, Inc.||Saint Joseph, MO||Jan 2009 - May 2012||3|
|Mercantile Bank||St. Joseph, MO||Apr 2008 - May 2012||4|
|Raymond James Financial Services Inc.||St Joseph, MO||Aug 2005 - May 2012||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
|S65||NASAA Investment Advisors Law Examination||Jun 1996|
Total Assets Under Management38,401MILLIONS
Total Number of Accounts115,441ACCOUNTS
Average Account Value$332,650
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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
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