Charles D. Lautz

MONEX ASSET MANAGEMENT

SAN DIEGO, CA 92101

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CRD#: 2493734

Professional summary

Charles David Lautz, who also goes by Charles David Lautz, Charles David David Lautz, David Charles Lautz, is a registered financial advisor currently at MONEX ASSET MANAGEMENT, INC. located in San Diego, California and MONEX SECURITIES, INC. located in San Diego, California.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles David Lautz | Charles David David Lautz | David Charles Lautz

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) Health insurance renewals through Blue Shield of CA & Vumi Group, it is investment related, located at 940 Sullivan Ct, Chula Vista, CA 91911, provides minimal services to a small health insurance book of business, working as an agent, activities started in 1994, will spend approx 1 hour a month. 2) Residential rental property, not investment related, located at 4010 Porte LaPaz #66 San Diego, CA 92122, owner of the property and rents the property, looks for tenants in the case of vacancy, coordinates routine maintenance as necessary, started in 2015 and spends approx 1 hr a month. 3) PWC; NON-INVESTMENT RELATED; 300 MADISON AVE., NEW YORK, NY 10017; FINANCIAL WELLNESS WORKSHOP PRESENTER; INDEPENDENT CONTRACTOR; 5/6/2024; 50-75 HRS/MO; 10-15 HRS/MO DURING TRADING HOURS; PROVIDE ACTION ORIENTED FINANCIAL PLANNING WORKSHOPS AND WEBINARS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles David Lautz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 2, 2023 - Present

MONEX ASSET MANAGEMENT, INC.

Office #1: 350 10th Avenue Suite 1054, San Diego, CA 92101

RIA

CRD#: 148123

SAN DIEGO, CA

Current

May 2, 2023 - Present

MONEX SECURITIES, INC.

Office #1: 350 10th Avenue Suite 1054, San Diego, CA 92101

CRD#: 5685

NEWARK, NJ

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".

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(5/2/2023)

IAR

California
(5/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/7/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/29/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/15/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123 / SEC#: 801-120366

RIA

Registered Investment Advisory firm - (2/22/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2021 Terminated)

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Contact information

Main Address

440 Louisiana Street Suite 1240, Houston, TX 77002

Mailing Address

Phone number

(713) 877-8234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 386,314,126

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.

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Advisor Monitoring

Firm Stability Insights

Charles D. Lautz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles David Lautz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEX SECURITIES, INC.

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

PFG ADVISORS

SECURITIES AMERICA, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

MONEX ASSET MANAGEMENT, INC.

MONEX SECURITIES, INC.

SNOWDEN CAPITAL ADVISORS LLC

SNOWDEN ACCOUNT SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MONEX ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/7/2004

Series 63

Date: 9/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2004

Series 6

Date: 7/29/1994

Series 26

Date: 6/15/2004

FINRA

Current Firm

MONEX ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONEX ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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