CC
Charles A. Chambers
OSAIC INSTITUTIONS
Wilmington, NC 28405
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CRD#: 2011615
CC
Professional summary
Charles Alan Chambers is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Wilmington, North Carolina.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Charles has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.) Wilmington Area Rebuilding Ministry (WARM) Not investment related. Board member. Non profit. Approx 1 hour per month. 2.) Outreach of Cape Fear. Not investment related. Board member. Approx 1 hour per month. 3.) UNCW Cameron Executive Network, Wilmington, NC. Not investment related. Started in 2021. Approx 1 hour per month. Advisory Board member and mentor.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Alan Chambers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Alan Chambers'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®
NoneExperience
Current
January 28, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6752 Rock Spring Rd #100, Wilmington, NC 28405RIA
BD
CRD#: 35371
Wilmington, NC
Current
January 28, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6752 Rock Spring Rd #100, Wilmington, NC 28405RIA
BD
CRD#: 35371
Wilmington, NC
Past
August 5, 2020 - January 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WILMINGTON, NC
Past
August 5, 2020 - January 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WILMINGTON, NC
Past
March 6, 2020 - July 22, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MT. PLEASANT, SC
Past
March 3, 2020 - July 22, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MT. PLEASANT, SC
Past
January 2, 2018 - February 18, 2020
BB&T SECURITIES, LLC
RIA
CRD#: 142785
WILMINGTON, NC
Past
January 2, 2018 - February 18, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
WILMINGTON, NC
Past
September 21, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
WILMINGTON, NC
Past
September 16, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
WILMINGTON, NC
Past
April 17, 2009 - April 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
VIENNA, VA
Past
March 13, 2009 - April 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
VIENNA, VA
Past
April 10, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
COLUMBIA, SC
Past
April 10, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
COLUMBIA, SC
Past
July 16, 2003 - March 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WASHINGTON, DC
Past
July 16, 2003 - March 6, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WASHINGTON, DC
Past
January 16, 2002 - July 21, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WASHINGTON, DC
Past
June 13, 1997 - July 21, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 23, 1994 - June 16, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 23, 1993 - October 6, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 23, 1990 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
North Carolina(1/28/2023)
IAR
North Carolina(1/28/2023)
RR
Virginia(1/28/2023)
IAR
Virginia(2/1/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/22/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
