Charles H. Whitman

LEGACY EDGE ADVISORS

Syosset, NY 11791

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CRD#: 1411972

Professional summary

Charles Henry Whitman is a registered financial advisor currently at LEGACY EDGE ADVISORS located in Syosset, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Henry Whitman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2025 - Present

LEGACY EDGE ADVISORS

Office #1: 485 Underhill Blvd. Suite 100, Syosset, NY 11791

RIA

CRD#: 328064

Syosset, NY

Past

May 13, 1999 - July 2, 2015

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

April 8, 1999 - April 30, 1999

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

Past

June 19, 1996 - April 5, 1999

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

September 30, 1993 - May 3, 1996

CATHAY FINANCIAL INC

CRD#: 30065

NEW YORK, NY

Past

February 28, 1991 - March 9, 1993

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

CRD#: 4341

NEW YORK, NY

Past

September 24, 1985 - February 26, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEGACY EDGE ADVISORS

LEGACY EDGE ADVISORS | LEGACY EDGE ADVISORS, LLC

CRD#: 328064 / SEC#: 801-128842

RIA

Registered Investment Advisory firm - (2/1/2024 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(5/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/2/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/21/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/6/2014

Registered Options Principal Examination

Current Firm

LEGACY EDGE ADVISORS

LEGACY EDGE ADVISORS | LEGACY EDGE ADVISORS, LLC

CRD#: 328064 / SEC#: 801-128842

RIA

Registered Investment Advisory firm - (2/1/2024 Approved)

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Contact information

Main Address

485 Underhill Blvd. Suite 100, Syosset, NY 11791

Mailing Address

Phone number

(516) 447-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- LEGACY EDGE ADVISORS (3/13/2025)

FORM ADV PART 2A- LEGACY EDGE ADVISORS (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,118
AUM (Assets Under Management)	$ 896,164,407

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Charles H. Whitman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Henry Whitman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSCAR GRUSS & SON INCORPORATED

OSCAR GRUSS & SON INCORPORATED

TD SECURITIES (USA) LLC

CATHAY FINANCIAL INC

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LEGACY EDGE ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2025

Series 63

Date: 10/17/1985

SIE

Date: 8/2/2025

Series 3

Date: 10/21/1991

Series 7

Date: 9/21/1985

Series 4

Date: 3/6/2014

Current Firm

LEGACY EDGE ADVISORS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY EDGE ADVISORS

TRUST BUT VERIFY

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