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Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
CL

Charles Leonard Bond

California·CRD #1290641
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
42 yrs
States
1
Exams
3
Since
1984
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CL

Charles Leo Powers III

Idaho·CRD #2554489
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
32 yrs
States
2
Exams
7
Since
1994
Est. fee
AUM / Flat Fee
View profile
CL

Charles Leo Sergewick

New Jersey·CRD #1672773
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
39 yrs
States
2
Exams
5
Since
1987
Est. fee
AUM / Commission / Flat Fee
View profile
CL

Charles Leslie Frazier III

Georgia·CRD #1521675
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
40 yrs
States
3
Exams
5
Since
1986
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
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CL

Charles Lewis

California·CRD #7692990
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
3 yrs
States
2
Exams
3
Since
2023
Est. fee
AUM / Commission / Flat Fee
View profile
CL

Charles Lewis Cooper

Colorado·CRD #1157073
IA Rep

Investment Adviser Rep at OSAIC WEALTH, INC.

Experience
43 yrs
States
1
Exams
5
Since
1983
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CL

Charles Lewis Dicarlo

Texas·CRD #6445457
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
10 yrs
States
1
Exams
3
Since
2016
Est. fee
AUM / Commission / Flat Fee
View profile
CL

Charles Lewis Shapiro

California·CRD #2564439
Dual-registered

Dual-registered at STRATOS WEALTH PARTNERS, LTD

Experience
32 yrs
States
4
Exams
8
Since
1994
Est. fee
AUM / Hourly / Flat Fee / Other
Minimum
$10k
View profile
CL

Charles Lossie Rowland III

Ohio·CRD #7501244
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
3 yrs
States
2
Exams
3
Since
2023
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CL

Charles Louis Norton

Texas·CRD #2780934
Dual-registered

Dual-registered at PENN DAVIS MCFARLAND INC

Experience
23 yrs
States
1
Exams
2
Since
2003
Est. fee
AUM
Minimum
$1.0M
View profile
CL

Charles Lufburrow Brown IV

New York·CRD #7171344
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
3 yrs
States
3
Exams
3
Since
2023
Est. fee
AUM / Flat Fee
View profile
CL

Charles Lyndorf Abney III

Georgia·CRD #2711031
IA Rep

Investment Adviser Rep at ZWJ INVESTMENT COUNSEL INC

Experience
21 yrs
States
1
Since
2005
Fee
AUM / Flat Fee
Minimum
$1.0M
View profile
CL

Charles L Youngman

Pennsylvania·CRD #4377002
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
25 yrs
States
2
Exams
3
Since
2001
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Charles Machann

Texas·CRD #7148814
Dual-registered

Dual-registered at EAGLE STRATEGIES LLC

Experience
7 yrs
States
1
Exams
5
Since
2019
Est. fee
AUM / Hourly / Flat Fee
View profile
CM

Charles Mark Kennedy

Tennessee·CRD #2799039
Dual-registered

Dual-registered at THE PACIFIC FINANCIAL GROUP, INC.

Experience
18 yrs
States
2
Exams
8
Since
2008
Est. fee
AUM
Minimum
$5k
View profile
CM

Charles Martin Bloom

California·CRD #720761
Dual-registered

Dual-registered at CENTAURUS FINANCIAL, INC.

Experience
45 yrs
States
3
Exams
5
Since
1981
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
CM

Charles Martin Hefferon

California·CRD #4315490
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
24 yrs
States
2
Exams
8
Since
2002
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Charles Martin Thomas

Texas·CRD #6436503
IA Rep

Investment Adviser Rep at SFMG WEALTH ADVISORS

Experience
10 yrs
States
1
Exams
2
Since
2016
Est. fee
AUM / Flat Fee
Minimum
$1.0M
View profile
CM

Charles Mathison Tyndal III

Tennessee·CRD #5923431
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
15 yrs
States
2
Exams
3
Since
2011
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Charles Matthew Carson

New York·CRD #2302422
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
33 yrs
States
2
Exams
6
Since
1993
Est. fee
AUM / Commission / Flat Fee
View profile
CM

Charles Matthew Ledoux

Louisiana·CRD #6751704
IA Rep

Investment Adviser Rep at GOING CPAS AND WEALTH ADVISORS

Experience
2 yrs
States
1
Since
2024
Fee
AUM / Hourly
Minimum
$100k
View profile
CM

Charles M Carey

Illinois·CRD #7291767
IA Rep

Investment Adviser Rep at WELLMENT FINANCIAL

Experience
5 yrs
States
1
Exams
1
Since
2021
Est. fee
AUM / Hourly / Flat Fee
Minimum
$250k
View profile
CM

Charles McCague Hoban

Illinois·CRD #8119812
Dual-registered

Dual-registered at WILLIAM BLAIR & COMPANY L.L.C.

Experience
1 yrs
States
1
Exams
3
Since
2025
Est. fee
AUM / Flat Fee
View profile
CM

Charles McClard Porter

Tennessee·CRD #4152693
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
26 yrs
States
1
Exams
5
Since
2000
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

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