Charles J. Wetzel

KESTRA ADVISORY SERVICES

BEL AIR, MD 21014

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CRD#: 1934341

Professional summary

Charles James Wetzel, CFP®, who also goes by Chuck Wetzel, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bel Air, Maryland and KESTRA INVESTMENT SERVICES, LLC located in Bel Air, Maryland.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Charles has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Wetzel

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.

Business Name: Wetzel & Associates, LLC Member Mid Atlantic Retirement Planning Specialists Investment Related: Yes Address: 336 South Main Street Ste. B1 Bel Air MD 21014 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC; Tax/Accounting/CPA Position, Title or Relationship: Accountant Start Date: 1/1/1995 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Working with client to provide answers or direction to solution.Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2 Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: investment advisor representative Start Date: 6/28/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: investment advisor representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles James Wetzel'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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

June 28, 2017 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 336 S. Mian Street Suite 1b, Bel Air, MD 21014

RIA

CRD#: 283330

BEL AIR, MD

Current

June 28, 2017 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 336 S Main St. Suite 1b, Bel Air, MD 21014

CRD#: 42046

BEL AIR, MD

Past

October 3, 2008 - June 28, 2017

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

BEL AIR, MD

Past

October 3, 2008 - June 28, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

BEL AIR, MD

Past

December 5, 2002 - December 31, 2004

GILMAN + CIOCIA, INC.

RIA

CRD#: 110847

POUGHKEEPSIE, NY

Past

October 23, 2002 - October 29, 2008

ASSET & FINANCIAL PLANNING, LTD

RIA

CRD#: 110709

BELAIR, MD

Past

January 1, 2001 - December 31, 2005

GILMAN + CIOCIA, INC.

RIA

CRD#: 110847

POUGHKEEPSIE, NY

Past

February 4, 1999 - October 29, 2008

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

BEL AIR, MD

Past

January 30, 1995 - February 5, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 16, 1992 - February 13, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

April 16, 1992 - February 13, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 30, 1992 - March 9, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 30, 1992 - March 9, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 18, 1991 - December 6, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

June 18, 1991 - December 6, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 19, 1989 - April 18, 1990

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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

Delaware
(6/28/2017)

Maryland
(6/28/2017)

IAR

Maryland
(6/28/2017)

New Jersey
(6/28/2017)

North Carolina
(6/28/2017)

Pennsylvania
(6/28/2017)

Rhode Island
(12/19/2017)

South Carolina
(6/28/2017)

Texas
(6/28/2017)

IAR

Texas
(7/26/2023)

Virginia
(6/28/2017)

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

Series 63

Date: 5/23/1989

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: 1/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1989

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 4/18/1989

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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 J. Wetzel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

GILMAN + CIOCIA, INC.

ASSET & FINANCIAL PLANNING, LTD

GILMAN + CIOCIA, INC.

PRIME CAPITAL SERVICES, INC.

OSAIC WEALTH, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/18/2000

Series 6

Date: 7/7/1989

Series 22

Date: 4/18/1989

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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