CR
Charles W. Rawl
SUNBELT SECURITIES
Houston, TX 77056
Some features on this profile are disabled
CRD#: 2606069
CR
Professional summary
Charles William Rawl, CFP®, ChFC®, CLU®, who also goes by Charlie Rawl, is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Houston, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie Rawl
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.) Charles W. Rawl & Associates, LLC (DBA): Investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. DBA for investment business conducted as a Registered Representative/Advisor under Sunbelt Securities, Inc. Start: May 2018. Commission and fees through Sunbelt, 40 hours per week primarily during trading hours. 2.) Retirement Income and Legacy Planners (DBA) under company name Charles W. Rawl & Associates, LLC (DBA): Investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. DBA for investment business conducted as a Registered Representative/Advisor under Sunbelt Securities, Inc. Start: July 2021. Commission and fees through Sunbelt, 40 hours per week primarily during trading hours. 3.) Charles W. Rawl & Associates, LLC (OBA): Not investment related. 2700 Post Oak Blvd., Ste. 1700, Houston, TX 77056. Insurance agency for fixed life insurance and annuities, group medical insurance and life settlements. Commission, fees and referral fees. Start 01/2013. 10-20 hours per week, time intermingled in trading hours. 4.) Charles W. Rawl & Associates, LLC (OBA): Not investment related. 2700 Post Oak Blvd., Ste 1700, Houston, TX 77056. Estate planning services. No relationship. Start: 01/15/2025. 2 to 4 hours per week, some during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Rawl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles William Rawl'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®
CFP®
Start date: 2000
Experience
Current
March 10, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Current
February 23, 2009 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
January 8, 2008 - February 20, 2009
USF ALTERNATIVE SERVICES, LLC
RIA
CRD#: 135613
HOUSTON, TX
Past
January 8, 2008 - February 20, 2009
USF ADVISORS, LLC
RIA
CRD#: 130569
HOUSTON, TX
Past
January 8, 2008 - February 20, 2009
USF SECURITIES, L.P.
BD
CRD#: 37942
HOUSTON, TX
Past
December 20, 2007 - July 7, 2008
FIRST UNION SECURITIES, INC.
BD
CRD#: 129502
SHELTON, CT
Past
May 13, 2005 - January 15, 2008
STANFORD GROUP COMPANY
RIA
CRD#: 39285
HOUSTON, TX
Past
May 13, 2005 - January 15, 2008
STANFORD GROUP COMPANY
BD
CRD#: 39285
HOUSTON, TX
Past
April 12, 2001 - May 27, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
April 12, 2001 - May 27, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 21, 1997 - April 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 10, 1995 - November 13, 1997
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
RR
Florida(8/28/2024)
IAR
Florida(8/28/2024)
RR
Louisiana(2/6/2025)
RR
Missouri(2/13/2025)
RR
New Mexico(8/7/2023)
IAR
New Mexico(8/7/2023)
RR
Ohio(2/10/2025)
RR
Oklahoma(3/12/2009)
IAR
Oklahoma(11/14/2011)
RR
South Carolina(2/23/2011)
RR
Texas(3/10/2009)
IAR
Texas(3/10/2009)
RR
Wisconsin(10/31/2024)
IAR
Wisconsin(11/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
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.
