CK
Charles F. Kuntz
CETERA WEALTH SERVICES
WHEELER, TX 79096
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CRD#: 1183122
CK
Professional summary
Charles Fred Kuntz is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Wheeler, Texas.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1983. Charles has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) Charles Kuntz CPA~111 WEST TEXAS AVE, P.O. BOX 489~WHEELER~TX~79096~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/2010~200hrs~200hrs~TAX, AUDIT AND ACCOUNTING 2) Panhandle of Texas Lions Foundation Inc.~P.O. Box~Wheeler~TX~79096~Other~Treasurer/Comptroller~1/1/1993~0hrs~0hrs~Teasurer of Area Foundation 3) Wildlife Texas Inc.~P.O. Box 489~Wheeler~TX~79096~Accounting/Bookkeeping (No Tax Preparation)~Accountant/Bookkeeper~1/1/2004~0hrs~0hrs~U.P.S. Shipping Site 4) KUNTZ, SMITH & CO PC INC POSITION: PARTNER NATURE: CERTIFIED PUBLIC ACCOUNTING FIRM INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/01/2019 111 West Texas Ave, Wheeler TX 79096, CERTIFIED PUBLIC ACCOUNTANT
CRS (Client Relationship Summary) - BD
Click below to view Charles Fred Kuntz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 111 West Texas Ave, Wheeler, TX 79096BD
CRD#: 13572
WHEELER, TX
Past
June 30, 2008 - December 4, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WHEELER, TX
Past
July 25, 2006 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WHEELER, TX
Past
January 21, 2003 - July 12, 2006
DALE BUCKNER, INC.
RIA
CRD#: 116342
AMARILLO, TX
Past
October 30, 1998 - May 19, 2006
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
WHEELER, TX
Past
January 3, 1991 - October 28, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 18, 1989 - December 31, 1990
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
July 25, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
June 3, 1985 - July 29, 1988
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
Past
October 18, 1983 - June 5, 1985
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Oklahoma(9/5/2025)
RR
Texas(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
