Charles Alan Hand | Financial Professional | Birmingham, Alabama

Professional summary

Charles Alan Hand, who also goes by Charles A Hand, is a registered financial advisor currently at STONEX ADVISORS INC. located in Birmingham, Alabama and STONEX SECURITIES INC. located in Birmingham, Alabama.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles A Hand

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) Hand Wealth Management - 1 Perimeter Park South, Suite 400S, Birmingham, Al 35243 Nature of Business: Hand Wealth Management; President. Company operates as a d/b/a for SA Stone to help build brand recognition and promote the independent business of the Financial Advisor. May offer other services as well, in which case there may be compensation related to these non-securities activities. Dedicates approximately 40 hours per week to this activity, mostly during financial market hours. Investment Services related. Investment Related: Yes Business Position: President Business Duties: Hand Wealth Management; President. Company operates as a d/b/a for SA Stone to help build brand recognition and promote the independent business of the Financial Advisor. May offer other services as well, in which case there may be compensation related to these non-securities activities. Dedicates approximately 40 hours per week to this activity, mostly during financial market hours. Investment Services related. Business Start Date: 07/01/2010 Approximately 40 hours spent on this OBA monthly, with 40 hours spent during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Alan Hand'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

June 30, 2016 - Present

STONEX ADVISORS INC.

Office #1: 1 Perimeter Park South Suite 400 S, Birmingham, AL 35243

RIA

CRD#: 174182

BIRMINGHAM, AL

Current

July 9, 2010 - Present

STONEX SECURITIES INC.

Office #1: 1 Perimeter Park South Suite 400 South, Birmingham, AL 35243

BD

CRD#: 18456

Birmingham, AL

Past

November 18, 2010 - June 30, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

November 2, 2007 - July 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

VESTAVIA HILLS, AL

Past

October 22, 2007 - July 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

VESTAVIA HILLS, AL

Past

September 25, 2003 - October 22, 2007

COLONIAL ASSET MANAGEMENT INC

RIA

CRD#: 108950

JASPER, AL

Past

August 9, 2002 - October 22, 2007

COLONIAL BROKERAGE, INC.

BD

CRD#: 111668

JASPER, AL

Past

April 17, 2001 - August 21, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BIRMINGHAM, AL

Past

March 12, 2001 - August 21, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

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".

SA

STONEX ADVISORS INC.

CRD#: 174182 / SEC#: 801-80747

RIA

Registered Investment Advisory firm - (12/17/2014 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.

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

Alabama
(7/9/2010)

IAR

Alabama
(6/30/2016)

RR

Florida
(4/27/2016)

RR

Georgia
(1/21/2016)

RR

Mississippi
(1/6/2020)

RR

North Carolina
(3/15/2018)

RR

South Carolina
(9/24/2024)

RR

Tennessee
(2/26/2021)

RR

Texas
(10/7/2022)

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

RR

IAR

Series 66

Date: 4/2/2001

Uniform Combined 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: 3/9/2001

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

SA

STONEX ADVISORS INC.

CRD#: 174182 / SEC#: 801-80747

RIA

Registered Investment Advisory firm - (12/17/2014 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

233

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAI ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts	14,988
AUM (Assets Under Management)	$ 4,515,278,523

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/27/2025	Cover Page	Report
02/27/2024	Cover Page	Report
01/20/2023	Cover Page	Report

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 A. Hand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Alan Hand's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

INTL ADVISORY CONSULTANTS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

COLONIAL ASSET MANAGEMENT INC

COLONIAL BROKERAGE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STONEX ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/2/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2001

FINRA

Current Firm

STONEX ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STONEX ADVISORS INC.

TRUST BUT VERIFY

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