Charles L. Bones

CRD#: 1682890

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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 Lawrence Bones, who also goes by Charlie Bones, Chuck Bones, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Bones | Chuck Bones

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 4, 2011 - November 8, 2023

MILESTONE INVESTMENTS, INC.

RIA

CRD#: 47090

CHARLOTTE, NC

Past

January 28, 2011 - November 8, 2023

MILESTONE INVESTMENTS, INC.

CRD#: 47090

CHARLOTTE, NC

Past

January 30, 2007 - December 31, 2010

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 7, 2000 - November 3, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

CHARLOTTE, NC

Past

October 7, 1987 - November 6, 1989

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

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".

MILESTONE INVESTMENTS, INC.

CRD#: 47090 / SEC#: 801-123585, 8-51664

RIA

Registered Investment Advisory firm - SEC (4/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - SEC (4/11/2022 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (4/7/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/16/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/6/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MILESTONE INVESTMENTS, INC.

CRD#: 47090 / SEC#: 801-123585, 8-51664

RIA

Registered Investment Advisory firm - SEC (4/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - SEC (4/11/2022 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (4/7/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

10700 Sikes Place Suite 315, Charlotte, NC 28277-0729

Mailing Address

10700 Sikes Place Suite 315, Charlotte, NC 28277-0729

Phone number

(704) 716-2749

Established

North Carolina since 02/17/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (3 States and Territories)

FINRA licenses (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MILESTONE ADV PART 2 FEB 2025 (2/4/2026)

Direct owners and executive officers

Name	Position	CRD#
ADDIS, RICHARD WOODROW JR	CHIEF OPERATING OFFICER, AML OFFICER, TECHNOLOGY OFFICER	3143354
FISHER, FREDRICK WILLIAM	CEO, CCO, CFO, FINOP	1877470

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 277,303,959

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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Advisor Monitoring

Firm Stability Insights

Charles L. Bones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MILESTONE INVESTMENTS, INC.

THE LEADERS GROUP, INC.

PARK AVENUE SECURITIES LLC

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

MILESTONE INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2011

Series 63

Date: 2/5/2001

SIE

Date: 10/1/2018

Series 6

Date: 12/6/2000

Current Firm

MILESTONE INVESTMENTS, INC.

Contact information

SEC notice filing (3 States and Territories)

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

MILESTONE INVESTMENTS, INC.

TRUST BUT VERIFY

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