CM
Charles R. Manthey
BLUECHIP FINANCIAL PLANNING
RICHARDSON, TX 75801
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CRD#: 1675091
CM
Professional summary
Charles Richard Manthey, CFP® is a registered financial advisor currently at BLUECHIP FINANCIAL PLANNING, INC. located in Richardson, Texas and OSAIC WEALTH, INC. located in Richardson, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Charles has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
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.
1. CHARLES MANTHEY INSURANCE AGENT POSITION: Insurance Agent NATURE: CHARLES MANTHEY - INSURANCE AGENT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1992 ADDRESS: 2435 N Central Expy, Suite 1217, Richardson TX 75080 DESCRIPTION: Life insurance sales to meet a financial goal. 2. PRAIRIE CLUB POSITION: Voting Board Member NATURE: Prairie Club Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/02/2020 ADDRESS: 12 E Willow St.Unit A, Lombard IL 60148, United States DESCRIPTION: Voting board member
CRS (Client Relationship Summary) - RIA
Click below to view Charles Richard Manthey'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®
CFP®
Start date: 1993
Experience
Current
June 30, 1997 - Present
BLUECHIP FINANCIAL PLANNING, INC.
Office #1: 800 E Campbell Suite 173, Richardson, TX 75801RIA
CRD#: 114944
RICHARDSON, TX
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2435 North Central Expressway Suite 1217, Richardson, TX 75080RIA
BD
CRD#: 23131
RICHARDSON, TX
Past
August 15, 1996 - December 16, 2003
BTS ASSET MANAGEMENT, INC.
RIA
CRD#: 105215
RICHARDSON, TX
Past
January 2, 1996 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
RICHARDSON, TX
Past
February 21, 1991 - February 2, 1996
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 26, 1987 - January 18, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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.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
Arkansas(6/14/2024)
RR
Colorado(6/14/2024)
RR
New York(6/14/2024)
RR
North Carolina(6/14/2024)
IAR
Texas(6/30/1997)
RR
Texas(6/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BLUECHIP FINANCIAL PLANNING, INC.
BLUECHIP FINANCIAL PLANNING, INC.
CRD#: 114944 / SEC#: 802-77844
Texas
Registered Investment Advisory firm - (6/30/1997 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2435 North Central Expressway Suite 1217, Richardson, TX 75080
Mailing Address
Phone number
(972) 669-4102
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 37,765,817 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/24/2014 |
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.
