Charles W. White
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 William White JR, who also goes by Charles William White, Chuck White, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1985. Charles had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2021 - May 22, 2026
LPL FINANCIAL LLC
January 14, 2021 - May 22, 2026
LPL FINANCIAL LLC
March 31, 2016 - December 16, 2020
THE HUNTINGTON INVESTMENT COMPANY
March 31, 2016 - December 16, 2020
THE HUNTINGTON INVESTMENT COMPANY
July 30, 2014 - February 3, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
July 30, 2014 - February 3, 2015
ALLSTATE FINANCIAL SERVICES, LLC
June 3, 2009 - October 7, 2013
CITIZENS SECURITIES, INC.
June 3, 2009 - October 7, 2013
CITIZENS SECURITIES, INC.
February 4, 2009 - May 21, 2009
NATCITY INVESTMENTS, INC.
June 3, 2003 - May 21, 2009
NATCITY INVESTMENTS, INC.
May 7, 2003 - May 29, 2003
CITIZENS SECURITIES, INC.
May 8, 2002 - May 29, 2003
CITIZENS SECURITIES, INC.
April 25, 1997 - December 31, 2000
MBSC, LLC
March 16, 1994 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
January 27, 1993 - March 11, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 27, 1993 - March 11, 1994
OSAIC FA, INC.
July 10, 1992 - February 6, 1993
LPL FINANCIAL LLC
May 10, 1989 - July 23, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 26, 1986 - May 30, 1989
VP DISTRIBUTORS LLC
June 18, 1985 - March 11, 1986
FINANCIAL ESTATE PLANNING, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
