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CE

Charles F. Edgerton

Some features on this profile are disabled
CRD#: 1348772
CE

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 Fred Edgerton, who also goes by Freddy Edgerton, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 28 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 22, Series 6, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Freddy Edgerton

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.
The advisor shows no other business activity.

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

November 10, 2021 - September 1, 2023

OSAIC SERVICES, INC.

BD
CRD#: 133763
SCOTTSDALE, AZ
Past

November 10, 2021 - November 3, 2023

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

November 10, 2021 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

November 10, 2021 - May 10, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

November 10, 2021 - May 10, 2024

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

November 9, 2021 - May 10, 2024

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SCOTTSDALE, AZ
Past

November 9, 2021 - May 10, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

March 23, 2021 - November 5, 2021

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PELHAM, AL
Past

March 23, 2021 - November 5, 2021

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

March 23, 2021 - November 5, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

March 23, 2021 - November 5, 2021

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

March 23, 2021 - November 5, 2021

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

March 23, 2021 - November 5, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

July 6, 2020 - August 28, 2020

STONEX ADVISORS INC.

RIA
CRD#: 174182
BIRMINGHAM, AL
Past

July 6, 2020 - August 28, 2020

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

December 1, 2015 - April 24, 2020

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PELHAM, AL
Past

December 1, 2015 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

December 1, 2015 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

December 1, 2015 - December 14, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past

December 1, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
SAN DIEGO, CA
Past

December 1, 2015 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

December 1, 2015 - April 24, 2020

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

December 1, 2015 - April 24, 2020

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

December 1, 2015 - April 24, 2020

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

December 1, 2015 - April 24, 2020

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

December 1, 2015 - April 24, 2020

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

July 8, 2015 - November 2, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
BIRMINGHAM, AL
Past

November 15, 2010 - November 2, 2015

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
BIRMINGHAM, AL
Past

August 19, 2010 - November 2, 2015

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

August 2, 2010 - November 2, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

October 1, 2007 - August 2, 2010

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
BIRMINGHAM, AL
Past

October 1, 2007 - August 2, 2010

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
BIRMINGHAM, AL
Past

August 3, 2007 - October 5, 2007

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
BIRMINGHAM, AL
Past

August 3, 2007 - October 5, 2007

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
BIRMINGHAM, AL
Past

February 13, 2007 - July 18, 2007

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
BIRMINGHAM, AL
Past

February 13, 2007 - July 18, 2007

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
BIRMINGHAM, AL
Past

October 23, 2006 - February 13, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
MEMPHIS, TN
Past

September 22, 2004 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

May 19, 2003 - June 30, 2003

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

April 29, 1991 - January 27, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 27, 1987 - April 8, 1991

UNIVERSAL SECURITIES CORPORATION

BD
CRD#: 846
BIRMINGHAM, AL
Past

May 3, 1985 - June 27, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

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
IAR
Series 66
Date: 10/12/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/9/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/28/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/1/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

OS
OSAIC SERVICES, INC.
1ST PALMETTO ADVISORS | PILLAR FINANCIAL GROUP | PETER GOODWIN PERSONAL WEALTH MANAGEMENT | PEGASUS FINANCIAL GROUP | PARKE AVENUE INVESTMENTS | PARK AVENUE INVESTMENTS, WEALTH STRATEGIES | PANTO WEALTH STRATEGIES | PALFINI FINANCIAL | OSAIC SERVICES, INC. | OREGON PLANNERS | OAKLEAF CAPITAL PARTNERS | OAK FINANCIAL ADVISORS | NORTHSTAR ASSOCIATES | NORTH MAIN FINANCIAL GROUP | NORLAKES FINANCIAL SERVICES | NEST FINANCIAL | NBS FINANCIAL GROUP | NAVIGATOR FINANCIAL GROUP | NACCARATO FINANCIAL GROUP | MYERS & INKROTT FINANCIAL GROUP | MY WEALTH DOCTOR | MSL CAPITAL MANAGEMENT | MOSAIC WEALTH SOLUTIONS | MONARCH WEALTH AND RETIREMENT STRATEGIES | MONARCH WEALTH & RETIREMENT STRATEGIES | MIDAMERICA FINANCIAL GROUP | MARK S LALIN AND ASSOCIATES | MANDY MONEY | MAIN STREET ADVISORS | M.R. MILLER FINANCIAL | LUTZ WEALTH ADVISORS | LUCERO FINANCIAL PLANNING | LIVING TREE FINANCIAL CONSULTING | LINEBERRY GROUP | LIFELONG FINANCIAL PLANNING | LIFECRAFT FINANCIAL GROUP | LIBERTY FINANCIAL ASSOCIATES | LEWIS AND PALMER FINANCIAL SOLUTIONS GROUP | LEGACY FINANCIAL PLANNING | LEGACY FINANCIAL ADVISORS, INC. | LEGACY FINANCIAL ADVISORS | LAWRENCE WEALTH MANAGEMENT | LACHICOTTE, INC. | KRAUSE INVESTMENT ADVISORY GROUP, LLC - PAUL R. KRAUSE | KND FINANCIAL | KARP FINANCIAL STRATEGIES | JSTEPHENS WEALTH MANAGEMENT | JP GLOBAL FINANCIAL SERVICES | JAMES C. PROTIGAL | J.S. HOLLAND & CO., INC | ISYS FINANCIAL MANAGEMENT | IQON WEALTH MANAGEMENT | INVESTONE RETIREMENT SPECIALISTS | INVESTMENT CONCEPTS, INC. | INTEGRATED RETIREMENT CONCEPTS | INTEGRATED FINANCIAL CONCEPTS | INKROTT FINANCIAL SERVICES | INKROTT FINANCIAL GROUP | INCOME AND WEALTH ADVISORS AND ASSOCIATES | IMPAC WEALTH SOLUTIONS | ICM HOLISTIC WEALTH SERVICES | HOMANS WEALTH MANAGEMENT | HILL FINANCIAL GROUP | HILL & ASSOCIATES | HIGH POINT CAPITAL PARTNERS | HIGH POINT CAPITAL GROUP | HEYMAN INVESTMENT INC | HERITAGE INVESTMENTS HINDE ASSET MANAGEMENT | HEIGHTS FINANCIAL | HEDBERG WEALTH MANAGEMENT | HAVEN FINANCIAL GROUP | HARMONY FINANCIAL SERVICES | HARMAN WEALTH MANAGEMENT INC | HALE FINANCIAL PLANNING GROUP | GUARDIAN ROCK WEALTH | GRUCZ FINANCIAL | GREENVILLE FINANCIAL GROUP | GRAY HAWK FINANCIAL SERVICES | GRANITE VISTA FINANCIAL | GMBP WEALTH MANAGEMENT | GLOBAL CAPITAL MANAGEMENT | GIGUERE FINANCIAL SERVICES | GEN2 FINANCIAL | FOREST HILLS WEALTH | FOCUS POINT PLANNING | FOCAL POINT FINANCIAL | FLATHERS WEALTH MANAGEMENT | FISCHER CHRISTOFF BARTMESS ADVISORS | FINANCIAL POINTE | FINANCIAL FREEDOM GROUP | FIDUCIARY FIRST | EXCELSIOR WEALTH PARTNERS | EVERGREEN WEALTH MANAGEMENT | ESTATE & FINANCIAL CONSULTANTS | ESCOBAR FINANCIAL | EMERALD FINANCIAL ADVISORS | EAGLE RETIREMENT GROUP | DORAL ASSET MANAGERS INC. | DOMINION EAGLE ADVISOR GROUP | DICOLA FINANCIAL SERVICES MKT NAME | DAVIS FINANCIAL GROUP | DAKOTA LEGACY FINANCIAL | CURTIN WEALTH MANAGEMENT | CURRENT FINANCIAL | COVENANT CAPITAL ADVISORS | COMPREHENSIVE FINANCIAL SERVICES | COMMON INTERESTS | COMMON GOAL FINANCIAL | COLE FINANCIAL | COFFMAN WEALTH MANAGEMENT | CODA FINANCIAL GROUP, INC. | CFS INTEGRATED FINANCIAL SERVICES | CFS ADVISOR TEAM | CATAMOUNT WEALTH ADVISORY | CARMICHAEL FINANCIAL ADVISORS | CAMPER FINANCIAL GROUP | BRAZIER HINZ & ASSOCIATES | BICE WEALTH MANAGEMENT | BGA RETIREMENT ADVISORS | BGA FINANCIAL | BETANCOURT FINANCIAL SERVICES | BCF WEALTH STRATEGIES | BAXTER & ASSOCIATES, INC. | BAUMOEL & GOODMAN FINANCIAL STRATEGIES | BALTHAZOR & STRUBE FINANCIAL & INSURANCE SERVICES | BAKER STREET FINANCIAL SERVICES, LLC | B.E.S. FINANCIAL | AUSTIN MANNING WEALTH MANAGEMENT | ASTOR FINANCIAL GROUP | ASSET WEALTH MANAGEMENT SERVICES, INC. | ASSET PLANNING & MANAGEMENT | ARUCA FINANCIAL | ANGELA MARTIN FINANCIAL | ANCHOR WEALTH MANAGEMENT INC. | AMS FINANCIAL GROUP | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN FINANCIAL ASSOCIATES | ALPHA RISING WEALTH MANAGEMENT | ALPHA ADVISING | ALLIED WEALTH MANAGEMENT LLC | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | AIG FINANCIAL ADVISORS, INC. | ADVENT FINANCIAL SERVICES | AD ASTRA FINANCIAL GROUP | A. RANDALL FINANCIAL | A. M. HOERR FINANCIAL...

CRD#: 133763 / SEC#: 801-64721, 8-66771

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
18700 Hayden Road Suite 2000, Phoenix, AZ 85012
Mailing Address
18700 Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 552-3319
Established
Delaware since 09/10/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,563

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2A (7/21/2023)

Direct owners and executive officers

NamePositionCRD#
OSAIC, INC.SHAREHOLDER
CORNICK, GREGORY ALLENCEO, PRESIDENT, DIRECTOR3132991
HAMMOND, DORI JAMILLECHIEF COMPLIANCE OFFICER3259012
MITCHELL, CHRISTOPHER MILLSCORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL2420144
SCHLUETER, MATTHEW ADAMEVP, DIRECTOR2627931

Regulatory assets under management

Total Number of Accounts86,848
AUM (Assets Under Management)$ 16,478,907,740

Disclosures

Regulatory Event26
Arbitration11

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

OSAIC SERVICES, INC.

CRD#: 133763

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