Charles G. Hardwick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Garland Hardwick III, CIMA®, CPWA®, who also goes by Charles Garland Hardwick, Charlie Garland Hardwick III, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2015 - June 25, 2021
AGW CAPITAL ADVISORS
February 5, 2015 - May 28, 2015
OAKPOINT SOLUTIONS, LLC
September 12, 2013 - January 28, 2015
FRONTIER SOLUTIONS, LLC
October 6, 2011 - June 8, 2012
FRONTIER SOLUTIONS, LLC
August 27, 2009 - October 3, 2011
WEISS MULTI-STRATEGY FUNDS LLC
March 30, 2009 - August 14, 2009
MAYMONT PARTNERS, INC.
July 10, 2003 - May 1, 2006
MAYMONT PARTNERS, INC.
January 1, 1999 - December 18, 2002
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
AGW CAPITAL ADVISORS
CRD#: 150570 / SEC#: 801-70256
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AGW CAPITAL ADVISORS
CRD#: 150570 / SEC#: 801-70256
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,257 |
| AUM (Assets Under Management) | $ 1,480,003,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 10/23/2023 | ||
| 09/27/2022 |
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.
