CP
Charles A. Pettit
CSP FINANCIAL GROUP LLC
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 2488074
CP
Professional summary
Charles Arthur Pettit JR, ChFC®, who also goes by Charles Pettit, is a registered financial advisor currently at CSP FINANCIAL GROUP LLC located in Scottsdale, Arizona.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Charles has worked at 7 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Pettit
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) CSP FINANCIAL GROUP, LLC; INVESTEMENT RELATED; PHOENIX, AZ; INSURANCE PRODUCTS SALES AND SERVICES; CEO/OWNER/INSURANCE AGENT; JULY 2004; 25% OF TIME SPENT ON THIS ACTIVITY.
2) Charles Arthur Pettit Jr is Partner of Ed 4 Feds, a training company used to provide seminars for federal employees of the federal government to educate them about their pension system and their retirement benefits.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Arthur Pettit JR'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®
Experience
Current
November 18, 2020 - Present
CSP FINANCIAL GROUP LLC
Office #1: 14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260RIA
CRD#: 310819
Scottsdale, AZ
Past
March 12, 2012 - January 20, 2021
LIFETYME FINANCIAL ADVISORS, LLC
RIA
CRD#: 159809
PHOENIX, AZ
Past
April 13, 2011 - December 13, 2011
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
FREDERICK, MD
Past
January 1, 2010 - December 13, 2011
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
FREDERICK, MD
Past
April 4, 2002 - December 31, 2007
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
GERMANTOWN, MD
Past
March 31, 1995 - February 21, 1996
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past
September 23, 1994 - March 31, 1995
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
August 15, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(11/18/2020)
IAR
Louisiana(1/19/2021)
IAR
Texas(12/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 600-9626
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186 |
| AUM (Assets Under Management) | $ 30,345,692 |
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.
