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CE

Charles B. Englehardt

Some features on this profile are disabled
CRD#: 2302534
CE

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 Brooks Englehardt was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 1, 2019 - June 8, 2020

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Antonio, TX
Past

March 18, 2015 - July 1, 2019

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

January 14, 2010 - July 3, 2019

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

January 8, 2010 - July 1, 2019

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

January 8, 2009 - June 19, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
NEW YORK, NY
Past

December 15, 2008 - June 19, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
NEW YORK, NY
Past

August 20, 2005 - December 31, 2008

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
NEW YORK, NY
Past

February 23, 2005 - December 31, 2008

BOFA ADVISORS, LLC

RIA
CRD#: 107900
NEW YORK, NY
Past

August 19, 2004 - February 23, 2005

BACAP DISTRIBUTORS, LLC

RIA
CRD#: 46088
NEW YORK, NY
Past

April 29, 1999 - August 20, 2005

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

February 9, 1996 - December 22, 1999

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 19, 1993 - November 30, 1994

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/8/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/7/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/3/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/21/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/19/2000
Investment Company Products/Variable Contracts Principal Examination

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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.

Company Information

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

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