Charles C. Avatar
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Caldwell Avatar, who also goes by Charles Avatar, Charles Caldwell Avatar, Charles Joseph Caldwell, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2023 - November 22, 2024
TD PRIVATE CLIENT WEALTH LLC
March 9, 2023 - November 22, 2024
TD PRIVATE CLIENT WEALTH LLC
July 8, 2019 - December 9, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 8, 2019 - December 9, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 13, 2016 - December 31, 2018
WOODBURY FINANCIAL SERVICES, INC.
December 9, 2015 - December 31, 2018
WOODBURY FINANCIAL SERVICES, INC.
October 13, 2015 - December 14, 2015
INVEST FINANCIAL CORPORATION
January 12, 2012 - October 14, 2015
ESSEX NATIONAL SECURITIES, LLC
March 5, 2008 - December 22, 2011
HIMCO DISTRIBUTION SERVICES COMPANY
November 4, 2005 - May 5, 2006
PNC WEALTH MANAGEMENT LLC
November 4, 2005 - May 5, 2006
PNC WEALTH MANAGEMENT LLC
February 17, 2005 - August 26, 2005
ESSEX NATIONAL SECURITIES, LLC
February 17, 2005 - August 26, 2005
ESSEX NATIONAL SECURITIES, LLC
June 17, 2004 - March 2, 2005
MML INVESTORS SERVICES, LLC
May 20, 2004 - March 2, 2005
MML INVESTORS SERVICES, LLC
January 10, 2003 - April 28, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2003 - April 28, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2002 - January 7, 2003
IFMG SECURITIES, INC.
June 13, 2000 - January 7, 2003
IFMG SECURITIES, INC.
April 29, 1998 - July 13, 2000
MORGAN STANLEY DW INC.
September 29, 1997 - April 7, 1998
FIRST UNION BROKERAGE SERVICES, INC.
March 28, 1996 - September 17, 1997
GUARDIAN INVESTOR SERVICES LLC
October 27, 1994 - January 11, 1996
G. R. PHELPS & CO., INC.
April 9, 1985 - June 28, 1988
MML INVESTORS SERVICES, LLC
September 13, 1982 - December 28, 1984
MML INVESTORS SERVICES, LLC
March 25, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
