CM
Charles J. Minnich
FOUNDATION CAPITAL MANAGEMENT
East Norriton, PA 19401
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CRD#: 1991467
CM
Professional summary
Charles Joseph Minnich IV, ChFC®, CLU®, who also goes by Charles J Minnich, Chuck Minnich IV, is a registered financial advisor currently at FOUNDATION CAPITAL MANAGEMENT, LLC located in East Norriton, Pennsylvania and OSAIC WEALTH, INC. located in Norristown, Pennsylvania.
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 9 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 J Minnich | Chuck Minnich Iv
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. FOUNDATION CAPITAL MANAGEMENT, LLC POSITION: Investment Advisor Representative NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 11/01/2006 ADDRESS: 2100 Swede Road, East Norriton PA 19401 DESCRIPTION: Manage money for clients. 2. CRUMP LIFE INSURANCE POSITION: Producer NATURE: Life Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/1990 ADDRESS: 4135 North Front Street, Harrisburg PA 17110 DESCRIPTION: Analyze insurance needs for clients and provide life insurance coverage. 3. DBA - Foundation Capital Management, LLC 4. ANCILLAE ASSUMPTA ACADEMY POSITION: Member of Board of Trustees NATURE: Member Board of Trustees INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 2025 Church Road, Wyncote PA 19095 DESCRIPTION: Provide guidance on enrollment and fundraising to private elementary school. 5. LASALLE COLLEGE HIGH SCHOOL POSITION: Member of committee NATURE: Member of the Investment Committee under the Board of Trustees. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/25/2023 ADDRESS: 8605 W Cheltenham Ave, Wyndmoor PA 19038 DESCRIPTION: Help determine and monitor investment policy for endowment fund. 6. LASALLE COLLEGE HIGH SCHOOL POSITION: Member of committee NATURE: Non-Profit Board of Directors. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/25/2023 ADDRESS: 8605 W Cheltenham Ave, Wyndmoor PA 19038, United States DESCRIPTION: Help maintain the mission of the school.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Joseph Minnich IV'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®
Experience
Current
February 26, 2007 - Present
FOUNDATION CAPITAL MANAGEMENT, LLC
Office #1: 2100 Swede Rd, East Norriton, PA 19401RIA
CRD#: 142659
East Norriton, PA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 2100 Swede Rd., Norristown, PA 19401RIA
BD
CRD#: 23131
NORRISTOWN, PA
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NORRISTOWN, PA
Past
November 18, 2019 - October 9, 2020
THE MARSHALL FINANCIAL GROUP LLC
RIA
CRD#: 146362
HUNT VALLEY, MD
Past
January 26, 2007 - February 14, 2007
SSN ADVISORY, INC.
RIA
CRD#: 126090
NORRISTOWN, PA
Past
January 3, 2007 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
NORRISTOWN, PA
Past
December 14, 1999 - January 11, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
NORRISTOWN, PA
Past
July 30, 1993 - January 11, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NORRISTOWN, PA
Past
October 9, 1989 - August 30, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 9, 1989 - August 30, 1991
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
FC
FOUNDATION CAPITAL MANAGEMENT, LLC
FOUNDATION CAPITAL MANAGEMENT, LLC
CRD#: 142659 / SEC#: 801-127582
RIA
Registered Investment Advisory firm - (3/21/2024 Approved)Pennsylvania
Registered Investment Advisory firm - (4/10/2024 Terminated)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.RR
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
RR
Alabama(6/14/2024)
RR
Arizona(6/14/2024)
RR
California(6/14/2024)
RR
Colorado(6/14/2024)
RR
Delaware(6/14/2024)
RR
District of Columbia(6/14/2024)
RR
Florida(6/14/2024)
RR
Georgia(6/14/2024)
RR
Hawaii(6/14/2024)
RR
Illinois(6/14/2024)
RR
Indiana(6/14/2024)
RR
Maryland(6/14/2024)
RR
Massachusetts(6/14/2024)
RR
Michigan(6/14/2024)
RR
Mississippi(6/14/2024)
RR
Nevada(6/14/2024)
RR
New Jersey(6/14/2024)
RR
New York(6/14/2024)
RR
North Carolina(6/14/2024)
RR
Ohio(6/14/2024)
RR
Oregon(6/14/2024)
IAR
Pennsylvania(2/26/2007)
RR
Pennsylvania(6/14/2024)
RR
South Carolina(6/14/2024)
RR
South Dakota(6/14/2024)
RR
Tennessee(6/14/2024)
RR
Texas(6/14/2024)
RR
Utah(6/14/2024)
RR
Vermont(6/14/2024)
RR
Virginia(6/14/2024)
RR
Wisconsin(6/14/2024)
RR
Wyoming(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FOUNDATION CAPITAL MANAGEMENT, LLC
FOUNDATION CAPITAL MANAGEMENT, LLC
CRD#: 142659 / SEC#: 801-127582
RIA
Registered Investment Advisory firm - (3/21/2024 Approved)Pennsylvania
Registered Investment Advisory firm - (4/10/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2100 Swede Rd, East Norriton, PA 19401
Mailing Address
Phone number
(610) 278-6961
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 491 |
| AUM (Assets Under Management) | $ 196,215,325 |
Red Flags
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Company Information
FOUNDATION CAPITAL MANAGEMENT, LLC
CRD#: 142659East Norriton, PA 19401TRUST BUT VERIFY
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Contact information
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