James G. Charles
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Gregory Charles's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
April 10, 2023 - Present
SANCTUARY FINANCIAL PLANNING, LLC
September 8, 2008 - August 13, 2021
DIMENSIONAL FUND ADVISORS LP
September 8, 2008 - August 13, 2021
DFA SECURITIES LLC
April 27, 2000 - August 13, 2008
AMERICAN CENTURY INVESTMENT SERVICES INC.
December 17, 1993 - March 15, 1995
OSAIC WEALTH, INC.
September 30, 1992 - December 16, 1993
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/17/2024)
(4/10/2023)
(7/20/2023)
(7/18/2025)
Exams
Series 7TO
Date: 12/12/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/12/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SANCTUARY FINANCIAL PLANNING, LLC
CRD#: 325857 / SEC#:
Contact information
Red Flags
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