Charles J. Minnich

FOUNDATION CAPITAL MANAGEMENT

East Norriton, PA 19401

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CRD#: 1991467

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Joseph Minnich IV'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 26, 2007 - Present

FOUNDATION CAPITAL MANAGEMENT, LLC

Office #1: 2100 Swede Rd, East Norriton, PA 19401

RIA

CRD#: 142659

East Norriton, PA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2100 Swede Rd., Norristown, PA 19401

RIA

CRD#: 23131

NORRISTOWN, PA

Past

September 18, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

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

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.

CRD#: 10205

NORRISTOWN, PA

Past

October 9, 1989 - August 30, 1991

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

October 9, 1989 - August 30, 1991

SIGNATOR INVESTORS, INC.

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".

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)

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

Alabama
(6/14/2024)

Arizona
(6/14/2024)

California
(6/14/2024)

Colorado
(6/14/2024)

Delaware
(6/14/2024)

District of Columbia
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Hawaii
(6/14/2024)

Illinois
(6/14/2024)

Indiana
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

Michigan
(6/14/2024)

Mississippi
(6/14/2024)

Nevada
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Ohio
(6/14/2024)

Oregon
(6/14/2024)

IAR

Pennsylvania
(2/26/2007)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

South Dakota
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

Utah
(6/14/2024)

Vermont
(6/14/2024)

Virginia
(6/14/2024)

Wisconsin
(6/14/2024)

Wyoming
(6/14/2024)

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: 11/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1989

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: 7/23/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/5/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNDATION CAPITAL MANAGEMENT PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	491
AUM (Assets Under Management)	$ 196,215,325

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Charles J. Minnich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Joseph Minnich IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATION CAPITAL MANAGEMENT, LLC

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

THE MARSHALL FINANCIAL GROUP LLC

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

FOUNDATION CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/1999

Series 63

Date: 10/27/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1999

Series 6

Date: 10/5/1989

FINRA

Current Firm

FOUNDATION CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDATION CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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