Charles D. Roberts

LPL ENTERPRISE

CHARLOTTE, NC 28209

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CRD#: 1879677

Professional summary

Charles David Roberts JR, who also goes by Charles David Roberts, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Charlotte, North Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Charles has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles David Roberts

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) 11/27/2024- Roberts Financial Group- DBA for LPL Business (entity for LPL business)- inv. related - at reported business location(s)- start date 02/06/2012- 175hrs/mnth-175hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles David Roberts JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Charles David Roberts 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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209

RIA

CRD#: 8733

CHARLOTTE, NC

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 5605 Carnegie Blvd Ste 240, Charlotte, NC 28209

RIA

CRD#: 8733

CHARLOTTE, NC

Past

September 16, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

High Point, NC

Past

September 16, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

High Point, NC

Past

February 22, 2012 - September 24, 2024

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

PINEVILLE, NC

Past

January 30, 2012 - September 24, 2024

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PINEVILLE, NC

Past

January 14, 2009 - December 31, 2011

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

MATTHEWS, NC

Past

January 14, 2009 - December 31, 2011

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

MATTHEWS, NC

Past

June 30, 2006 - January 2, 2009

TCA FINANCIAL GROUP, LLC

RIA

CRD#: 131275

CHARLOTTE, NC

Past

July 5, 2005 - January 2, 2009

TCA FINANCIAL GROUP, LLC

CRD#: 131275

CHARLOTTE, NC

Past

November 12, 2004 - June 27, 2005

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

February 7, 1992 - July 9, 1992

JOSEPHTHAL & CO., INC.

CRD#: 3227

Past

January 13, 1992 - January 29, 1992

BILTMORE SECURITIES, INC.

CRD#: 25023

Past

February 7, 1991 - June 25, 1991

KOBER FINANCIAL CORP.

CRD#: 17551

Past

August 22, 1990 - October 17, 1990

PARKER JAMESON, INC.

CRD#: 18409

Past

March 16, 1989 - September 5, 1990

FIRST EAGLE, INC.

CRD#: 16509

Past

February 28, 1989 - March 22, 1989

HUBERMAN SECURITIES CORP.

CRD#: 10133

Past

February 23, 1989 - March 16, 1989

HAMPTON SECURITIES, INC.

CRD#: 16660

Past

February 9, 1989 - October 2, 1989

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

Past

September 20, 1988 - January 30, 1989

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(11/14/2024)

Florida
(11/15/2024)

Michigan
(11/14/2024)

North Carolina
(11/14/2024)

IAR

North Carolina
(11/14/2024)

Pennsylvania
(11/14/2024)

South Carolina
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Utah
(9/27/2025)

Washington
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/11/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

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

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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 D. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles David Roberts JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Charles David Roberts JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

TCA FINANCIAL GROUP, LLC

TCA FINANCIAL GROUP, LLC

VANGUARD MARKETING CORPORATION

JOSEPHTHAL & CO., INC.

BILTMORE SECURITIES, INC.

KOBER FINANCIAL CORP.

PARKER JAMESON, INC.

FIRST EAGLE, INC.

HUBERMAN SECURITIES CORP.

HAMPTON SECURITIES, INC.

F.D. ROBERTS SECURITIES, INC.

F.D. ROBERTS SECURITIES, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2006

Series 63

Date: 11/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/15/2005

Series 6

Date: 11/11/2004

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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