James G. Charles

SANCTUARY FINANCIAL PLANNING

CHARLOTTE, NC 28204

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CRD#: 1785950

Professional summary

James Gregory Charles, CFP® is a registered financial advisor currently at SANCTUARY FINANCIAL PLANNING, LLC located in Charlotte, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24 and Series 26 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 James Gregory Charles'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^®

Certified Financial Planner

Start date: 1987

Experience

Current

April 10, 2023 - Present

SANCTUARY FINANCIAL PLANNING, LLC

Office #1: 601 South Kings Drive Suite F-155, Charlotte, NC 28204

RIA

CRD#: 325857

CHARLOTTE, NC

Past

September 8, 2008 - August 13, 2021

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

CHARLOTTE, NC

Past

September 8, 2008 - August 13, 2021

DFA SECURITIES LLC

CRD#: 10292

CHARLOTTE, NC

Past

April 27, 2000 - August 13, 2008

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

December 17, 1993 - March 15, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 30, 1992 - December 16, 1993

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

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.

Highlighted states indicate IAR registrations

IAR

California
(7/17/2024)

IAR

North Carolina
(4/10/2023)

IAR

Texas
(7/20/2023)

IAR

Virginia
(7/18/2025)

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

Series 63

Date: 4/26/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/12/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/12/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 12/12/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/26/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/12/2022

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SANCTUARY FINANCIAL PLANNING, LLC

CRD#: 325857 / SEC#:

California

Registered Investment Advisory firm - (7/17/2024 Approved)

North Carolina

Registered Investment Advisory firm - (4/10/2023 Approved)

Texas

Registered Investment Advisory firm - (7/17/2023 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (7/18/2025 Approved)

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Contact information

Main Address

601 South Kings Drive Suite F-155, Charlotte, NC 28204

Mailing Address

Phone number

(704) 705-8773

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

James G. Charles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gregory Charles's CRS (Customer Relationship Summary).

Certified licenses

Experience

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

AMERICAN CENTURY INVESTMENT SERVICES INC.

OSAIC WEALTH, INC.

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/2000

Series 65

Date: 5/12/1993

Series 7TO

Date: 12/12/2022

Series 6TO

Date: 12/12/2022

SIE

Date: 10/1/2018

Series 7

Date: 4/23/2009

Series 6

Date: 4/26/2000

Series 24

Date: 12/12/2022

Series 26

Date: 12/12/2022

Current Firm

SANCTUARY FINANCIAL PLANNING, LLC

Contact information

Documents

Red Flags

Company Information

SANCTUARY FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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