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CL

Charles D. Lautz

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CRD#: 2493734
CL
Charles David Lautz

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 David Lautz, who also goes by Charles David Lautz, Charles David David Lautz, David Charles Lautz, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1994. Charles had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

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.
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

May 2, 2023 - July 21, 2026

MONEX ASSET MANAGEMENT, INC.

RIA
CRD#: 148123
SAN DIEGO, CA
Past

May 2, 2023 - July 21, 2026

MONEX SECURITIES, INC.

BD
CRD#: 30362
SAN DIEGO, CA
Past

April 15, 2021 - April 24, 2023

INSIGHT SECURITIES, INC.

RIA
CRD#: 5611
Chula Vista, CA
Past

April 14, 2021 - April 24, 2023

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
HIGHLAND PARK, IL
Past

March 16, 2020 - January 20, 2021

PFG ADVISORS

RIA
CRD#: 173344
Chula Vista, CA
Past

March 13, 2020 - December 23, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SAN DIEGO, CA
Past

December 4, 2017 - March 20, 2020

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
La Jolla, CA
Past

December 4, 2017 - March 20, 2020

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
La Jolla, CA
Past

September 11, 2017 - December 7, 2017

MONEX ASSET MANAGEMENT, INC.

RIA
CRD#: 148123
SAN DIEGO, CA
Past

September 8, 2017 - December 6, 2017

MONEX SECURITIES, INC.

BD
CRD#: 30362
HOUSTON, TX
Past

January 23, 2017 - June 28, 2017

SNOWDEN CAPITAL ADVISORS LLC

RIA
CRD#: 157299
SAN DIEGO, CA
Past

January 23, 2017 - June 28, 2017

SNOWDEN ACCOUNT SERVICES LLC

BD
CRD#: 149794
San Diego, CA
Past

January 3, 2011 - January 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN DIEGO, CA
Past

January 3, 2011 - January 25, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAN DIEGO, CA
Past

July 10, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CHULA VISTA, CA
Past

July 10, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CHULA VISTA, CA
Past

July 12, 2005 - May 7, 2008

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SAN DIEGO, CA
Past

July 7, 2005 - May 7, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SAN DIEGO, CA
Past

August 5, 2004 - June 17, 2005

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SAN DIEGO, CA
Past

August 1, 1994 - June 17, 2005

PRUCO SECURITIES, LLC.

BD
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".
MA
MONEX ASSET MANAGEMENT, INC.
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)

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
IAR
Series 65
Date: 6/7/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/2/1994
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: 5/14/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/15/2004
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MA
MONEX ASSET MANAGEMENT, INC.
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)
Loading...

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
20

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (12/18/2025)

Regulatory assets under management

Total Number of Accounts547
AUM (Assets Under Management)$ 556,823,051

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

MONEX ASSET MANAGEMENT, INC.

CRD#: 148123

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