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CB

Charles D. Boushley

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CRD#: 1122914
CB

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 Dale Boushley, who also goes by C Dale Boushley, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

C Dale Boushley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)START DATE 8/2016, I DEVOTE 20 HRS/MO AS INDEPENDENT ADVISOR FOR CLARUS WEALTH ADVISORS LLC. THIS IS AN INVESTMENT RELATED ACTIVITY & MY DUTIES ARE AS INVESTMENT ADVISOR REP. 2)START DATE 10/2015, I DEVOTE 2 HRS/MO AS AGENT FOR WARD T BELL & ASSOC. THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES ARE AS INDEPENDENT FIXED INSURANCE AGENT. 3)START DATE 10/1982, I DEVOTE 80 HRS/MO (SEASONALLY)AS PRESIDENT/50 % OWNER OF FINANCIAL RESOURCE MANAGEMENT INC. THIS IS NOT INVESTMENT RELATED & MY DUTIES ARE TO PREPARE TAX RETURNS FOR CLIENTS. ADDRESS FOR ABOVE:9125 W THUNDERBIRD RD.#100, PEORIA, AZ 85381. 4)START DATE 12/1999, I DEVOTE 5 HRS/MO AS MANAGING MEMBER OF MARB PROPERTIES LLC. THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES ARE TO MANAGE RENTAL PROPERTY. ADDRESS: 8175 W UNION HILLS DR., PEORIA, AZ 85382. 5)START DATE 4/2010, I DEVOTE 36 HRS/MO AS MANAGING MEMBER OF OUR SEVEN KIDS LLC. THIS IS NOT AN INVESTMENT RELATED ACTIVITY & MY DUTIES ARE TO MANAGE RENTAL PROPERTIES. 6)START DATE 1/1992, I DEVOTE 10 HRS/MO AS SPEAKER/INSTRUCTOR. THIS ACTIVITY IS NOT INVESTMENT RELATED & MY DUTIES ARE TO TEACH SEMINARS ON INCOME TAX TOPICS. 7) START DATE 12/2004, I DEVOTE 10 HRS/MO AS MANAGER/OWNER OF RENTAL REAL ESTATE HELD IN MY OWN NAME. THIS IS NOT INVESTMENT RELATED & MY DUTIES ARE TO MANAGE RENTAL REAL ESTATE. ADDRESS FOR ABOVE: 14043 N 90TH DR., PEORIA, AZ 85381

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 28, 2017 - December 31, 2019

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
Peoria, AZ
Past

August 18, 2016 - February 14, 2023

CLARUS WEALTH ADVISORS, LLC

RIA
CRD#: 281160
PEORIA, AZ
Past

November 16, 2015 - August 30, 2017

WFG ADVISORS, LP

RIA
CRD#: 125073
Peoria, AZ
Past

October 30, 2015 - August 30, 2017

WFG INVESTMENTS, INC.

BD
CRD#: 22704
PEORIA, AZ
Past

August 25, 2004 - November 9, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PEORIA, AZ
Past

June 1, 1994 - November 9, 2015

SECURITIES AMERICA, INC.

BD
CRD#: 10205
Peoria, AZ
Past

May 19, 1992 - June 2, 1994

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

August 19, 1985 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

January 31, 1984 - August 26, 1985

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
Past

April 19, 1983 - March 7, 1984

LPL FINANCIAL LLC

BD
CRD#: 6413

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/1993
General Securities Principal Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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.

Company Information

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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