Alfonso Charles
Investment Adviser Representative at Broadway Wealth Solutions
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Alfonso Charles is an investment adviser representative with Broadway Wealth Solutions in San Antonio, TX, where they have been registered since 2024. They have worked in the securities industry since 2023 and were previously registered with Equitable Advisors, LLC. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 11
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Equitable Advisors, LLCAug 2022 – Feb 2024New York, NY
- University Health SystemAug 2020 – Aug 2022San Antonio, TX
- WalmartMar 2017 – Jul 2020San Antonio, TX
- Papa JohnsJan 2017 – Mar 2017San Antonio, TX
- WalmartJun 2016 – Dec 2016San Antonio, TX
- St. Mary's UniversityAug 2017 – May 2021San Antonio, TX
- Health Careers High SchoolAug 2014 – Jun 2017San Antonio, TX
- Broadway Wealth SolutionsFeb 2014 – no end date reportedSan Antonio, TX
- Broadway Wealth Solutions, Inc.Aug 2024 – no end date reportedSan Antonia, TX
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Broadway Wealth Solutions
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $60,000 (waivable)
- First $1 million1.00%
- Next $1 million0.80%
- Next $3 million0.60%
- Over $5 million0.50%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 11
- Offices listed on AdvisorFinder:
- 28
- Main office:
- San Antonio, TX
- SEC file number:
- 801-124953
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Broadway Wealth Solutions
10 other advisors in the directory
Similar advisors in San Antonio, TX
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alfonso Charles has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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