Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles David Roberts is a financial professional with over 20 years of experience in the industry. Charles has held various roles at several firms including Woodbury Financial Services, Inc., Triune Capital Advisors LLC, Vanguard Marketing Corporation, and LPL Enterprise, LLC. Charles currently holds active registrations as an Investment Advisor Representative (IAR) in both North Carolina and Texas. Charles is registered with LPL Enterprise, LLC and provides advisory services including financial planning, portfolio management for individuals and businesses, and educational seminars. Charles' specializations include investment management, retirement planning, and insurance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NC
11/14/2024 - Present
LPL Enterprise, LLC (CHARLOTTE NC)
NC
01/14/2009 - 12/31/2011
WOODBURY FINANCIAL SERVICES, INC. (MATTHEWS NC)
NC
07/05/2005 - 01/02/2009
TRIUNE CAPITAL ADVISORS LLC (CHARLOTTE NC)
PA
11/12/2004 - 06/27/2005
VANGUARD MARKETING CORPORATION (MALVERN PA)
NA
02/07/1992 - 07/09/1992
JOSEPHTHAL LYON & ROSS INCORPORATED
NA
01/13/1992 - 01/29/1992
BILTMORE SECURITIES, INC
NA
02/07/1991 - 06/25/1991
KOBER FINANCIAL CORP.
NA
08/22/1990 - 10/17/1990
PARKER JAMESON, INC.
NA
03/16/1989 - 09/05/1990
FIRST EAGLE, INC.
NA
02/09/1989 - 10/02/1989
F.D. ROBERTS SECURITIES, INC.
NA
02/28/1989 - 03/22/1989
HUBERMAN SECURITIES CORP.
NA
02/23/1989 - 03/16/1989
HAMPTON SECURITIES, INC.
NA
09/20/1988 - 01/30/1989
F.D. ROBERTS SECURITIES, INC.
IA
Issued 06/29/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2005
Series 7 - General Securities Representative Examination
BC
Issued 11/11/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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