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CM

Charles F. Mcateer

ARIA WEALTH MANAGEMENT
Saratoga, CA 95070
Some features on this profile are disabled
CRD#: 2667877
CM

Professional summary

Charles Francis Mcateer III is a registered financial advisor currently at ARIA WEALTH MANAGEMENT located in Saratoga, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) Fortress Retirement Group. Address: Atlanta, GA. Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related: No. Start Date: 08/31/2017. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of duties: Managing Director and Financial Adviser for the Group. 2) Life Changing Nutraceuticals Inc. Address: Woodstock, GA. Nature of the Business: Business Owner Position/Title: Business Owner Investment Related: Yes Start Date: 02/19/2018 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 2 Description of duties: As a co-owner (50%) I handle the finances for the company, and work with our business attorney and intellectual property attorney.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Francis Mcateer III'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

October 15, 2019 - Present

ARIA WEALTH MANAGEMENT

Office #1: 20640 3rd Steet Suite 300, Saratoga, CA 95070
RIA
CRD#: 288450
Saratoga, CA
Past

March 4, 2015 - October 10, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
ATLANTA, GA
Past

January 30, 2015 - October 10, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ATLANTA, GA
Past

June 1, 2009 - February 3, 2015

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

June 1, 2009 - February 3, 2015

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ATLANTA, GA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ATLANTA, GA
Past

March 5, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
ATLANTA, GA
Past

November 14, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
ATLANTA, 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".
AW
ARIA WEALTH MANAGEMENT
ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA
Registered Investment Advisory firm - (7/5/2017 Approved)

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
Georgia
(10/15/2019)
IAR
Texas
(10/16/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/1995
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 31
Date: 11/28/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/1995
General Securities Representative Examination

Current Firm

AW
ARIA WEALTH MANAGEMENT
ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA
Registered Investment Advisory firm - (7/5/2017 Approved)
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Contact information

Main Address
20640 3rd Steet Suite 300, Saratoga, CA 95070
Mailing Address
Phone number
(669) 222-1155
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ARIA WEALTH PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts616
AUM (Assets Under Management)$ 122,757,930

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

ARIA WEALTH MANAGEMENT

CRD#: 288450Saratoga, CA 95070

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