CB
Charles N. Bracht
KESTRA ADVISORY SERVICES
Houston, TX
Some features on this profile are disabled
CRD#: 28082
CB
Professional summary
Charles Nelson Bracht, who also goes by Chuck Bracht, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Houston, Texas and KESTRA INVESTMENT SERVICES, LLC located in Houston, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Charles has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Bracht
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.
Bus Name: The Delacroix Building Condominium Association Investment Related: No Address: 837 Royal Street New Orleans LA 70116 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Board member and President Start Date: 1/1/2011 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Run annual meeting, handle decisions that come up during the year in conjunction with the other board members. Bus Name: Bracht-Verlander Family Foundation Investment Related: No Address: 5314 Mandell Street Houston TX 77005 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Community/Charitable/Civic Volunteer (Non-Leadership Position) Position, Title or Relationship: President Start Date: 10/26/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I will run Board meetings, and do other tasks as detailed in the bylaws of the corporation. Bus Name: B-V Interests, LLC Investment Related: Yes Address: 5314 Mandell Street Houston TX 77005 Nature of Business: Real Estate Position, Title or Relationship: I am a principal along with my wife. Start Date: 7/31/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: My wife is doing most of the work, including architectural, and dealing with the contractor. Bus Name: Vieux Carre Property Owners, Residents and Associates Investment Related: No Address: 816 N Rampart Street New Orleans LA 70116 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: I have just been approved by the Board if Directors in a meeting Monday night to be on the slate for membership. the election is in mid-November. Start Date: 11/15/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I am not on a committee yet, but the tasks have to do with monitoring the French Quarter, especially as to any physical changes, and working with an agency of the City of New Orleans the Vieux Carre Commission. Bus Name: NFP WEALTH MANAGEMENT POSITION: VP, Business development NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2023 ADDRESS: 11111 Wilcrest Green Drive, Suite 445, Houston TX 77042 DESCRIPTION: I sell and service registered products through Kestra as (the major) part of my business. The registered products are variable life (almost exclusively, if not exclusively, Pacific Life), mutual funds (almost exclusively, if not exclusively, American Funds), and variable annuities (Prudential and Jackson National, primarily). A few of my clients have Kestra brokerage accounts to which they have transferred individual securities they previously owned. I do not solicit individual securities sales to my clients. I also sell a limited amount of general account life insurance, primarily term insurance, with various carriers. Bus Name: CHEROKEE CIVIC CLUB POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/13/2023 ADDRESS: 5307 Cherokee St, (residence of current President), Houston TX 77005 DESCRIPTION: Attend about four meetings a year and participate in decisions we need to make regarding the HOA. Bus Name: 5103 EMERALD LODGE POSITION: Owner, with my wife NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 10/03/2022 ADDRESS: 1800 Medicine Springs Road, Unit 5103, Steamboat Springs CO 80487 DESCRIPTION: We have hired a property manager, Vacasa, to rent the unit. They collect rentals, retain their fee and send us the difference after cleaning expenses and other minor maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Nelson Bracht'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®
NoneExperience
Current
March 2, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 1250 Wood Branch Park Drive Suite 325, Houston, TX 77079RIA
CRD#: 283330
Houston, TX
Current
September 10, 1997 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1250 Wood Branch Park Drive Suite 325, Houston, TX 77079BD
CRD#: 42046
Houston, TX
Past
March 31, 1989 - September 10, 1997
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 7, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
NORTH PALM BEACH, FL
Past
June 3, 1981 - June 28, 1983
FINANCIAL SYNERGIES EQUITIES, INC.
BD
CRD#: 7550
Past
March 14, 1972 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
Arizona(2/8/2011)
RR
California(1/11/2001)
RR
Colorado(9/10/1997)
RR
Florida(6/6/2019)
RR
Illinois(1/3/2023)
RR
Iowa(6/2/2022)
RR
Kansas(1/14/2011)
RR
Maryland(3/22/2021)
RR
Massachusetts(4/23/2020)
RR
New Mexico(2/8/2002)
RR
Pennsylvania(8/4/2010)
RR
Texas(9/10/1997)
IAR
Texas(3/2/2023)
RR
Virginia(11/30/2015)
RR
Washington(10/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/10/1972
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
