Charles A. Kerwood
Professional summary
Charles Arthur Kerwood III, CFP®, ChFC®, who also goes by Charlie Kerwood, Chuck Kerwood, is a registered financial advisor currently at WALLER FINANCIAL PLANNING GROUP, INC. located in Naples, Florida.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Charles Arthur Kerwood III's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1995
Experience
April 13, 2012 - Present
WALLER FINANCIAL PLANNING GROUP, INC.
Office #1: 801 Laurel Oak Drive, Naples, FL 34108January 19, 2012 - March 9, 2012
LPL FINANCIAL LLC
November 17, 2008 - December 18, 2013
LPL FINANCIAL LLC
August 19, 1999 - November 26, 2008
OSAIC WEALTH, INC.
October 1, 1997 - November 26, 2008
OSAIC WEALTH, INC.
June 18, 1996 - April 16, 2012
WALLER FINANCIAL PLANNING GROUP INC
February 5, 1993 - October 2, 1997
MUTUAL SERVICE CORPORATION
Primary Firm SEC Registration
WALLER FINANCIAL PLANNING GROUP, INC.
CRD#: 159564 / SEC#: 801-72938
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/13/2012)
Exams
Current Firm
WALLER FINANCIAL PLANNING GROUP, INC.
CRD#: 159564 / SEC#: 801-72938
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,013 |
| AUM (Assets Under Management) | $ 635,334,614 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/14/2025 | ||
| 10/17/2024 | ||
| 09/06/2023 | ||
| 12/21/2022 |
Red Flags
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