Charles R. Gaines

CARGILE INVESTMENT MANAGEMENT

MIDLAND, TX 79701

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CRD#: 1524626

Professional summary

Charles Ross Gaines JR, who also goes by Charlie Gaines, is a registered financial advisor currently at CARGILE INVESTMENT MANAGEMENT located in Midland, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Charles has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charlie Gaines

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 Ross Gaines JR'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

March 22, 2004 - Present

CARGILE INVESTMENT MANAGEMENT

Office #1: 415 West Wall Street Suite 2200, Midland, TX 79701

RIA

CRD#: 116982

MIDLAND, TX

Past

March 11, 2004 - October 24, 2005

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

January 2, 2003 - December 19, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MIDLAND, TX

Past

April 24, 2001 - December 19, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

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".

CARGILE INVESTMENT MANAGEMENT

CARGILE INVESTMENT MANAGEMENT | WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P. | CARGILE INVESTMENTS | CARGILE INVESTMENT MANAGEMENT, LLP | CARGILE INVESTMENT MANAGEMENT, INC.

CRD#: 116982 / SEC#: 801-64513

RIA

Registered Investment Advisory firm - (7/15/2005 Approved)

Texas

Registered Investment Advisory firm - (9/28/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(3/22/2004)

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 66

Date: 12/23/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/21/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/23/2001

General Securities Representative Examination

Current Firm

CARGILE INVESTMENT MANAGEMENT

CARGILE INVESTMENT MANAGEMENT | WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P. | CARGILE INVESTMENTS | CARGILE INVESTMENT MANAGEMENT, LLP | CARGILE INVESTMENT MANAGEMENT, INC.

CRD#: 116982 / SEC#: 801-64513

RIA

Registered Investment Advisory firm - (7/15/2005 Approved)

Texas

Registered Investment Advisory firm - (9/28/2005 Terminated)

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Contact information

Main Address

415 West Wall Street Suite 2200, Midland, TX 79701

Mailing Address

Phone number

(432) 617-1394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 383,040,142

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.

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Charles R. Gaines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Ross Gaines JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARGILE INVESTMENT MANAGEMENT

GUGGENHEIM DISTRIBUTORS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CARGILE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2002

Series 63

Date: 5/21/2001

Series 7

Date: 4/23/2001

Current Firm

CARGILE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARGILE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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