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Charles Neal Maglaque

Other Names: Charles N Maglaque, Neal Maglaque
Firm:
Ameriprise Financial Services, Inc.
Senior Vice President of Business Planning and Operations for Us Advisor Group
Type: Registered Representative
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Description

Charles Maglaque an executive and has an ownership stake of Ameriprise Financial Services, Inc., a broker-dealer with over 12,900 registered representatives nationwide. Charles has held an industry securities registration for 6 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Charles Neal Maglaque has not answered any questions on Financial Q&A.

Top Guides

Charles Neal Maglaque has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Brecek & Young Advisors, Inc. 2 years, 5 months Dec 2010 - Present
Ameriprise Financial Services, Inc. 6 years, 3 months Feb 2007 - Present
American Express International, Inc. 3 years Jun 2002 - Jun 2005
Ameriprise Financial 18 years, 6 months Nov 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
01/23/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Principal Examination Series 24 05/01/2007
General Securities Representative Examination Series 7 05/02/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees