Charles C. Christie

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CRD#: 2824068

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 Cody Christie JR, who also goes by Charles Cody Christie, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Cody Christie

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

November 17, 2008 - November 20, 2019

HERITAGE WEALTH MANAGEMENT GROUP, LTD

RIA

CRD#: 148459

NORFOLK, VA

Past

January 9, 2006 - September 19, 2008

HIGHWAY FINANCIAL NETWORKS

RIA

CRD#: 119524

NORFOLK, VA

Past

February 25, 2005 - January 17, 2006

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NORFOLK, VA

Past

May 7, 2004 - January 17, 2006

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

November 5, 1997 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NORFOLK, VA

Past

January 2, 1997 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

HERITAGE WEALTH MANAGEMENT GROUP, LTD

CRD#: 148459 / SEC#: 801-120938

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Delaware

Registered Investment Advisory firm - (6/10/2021 Terminated)

Florida

Registered Investment Advisory firm - (6/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2021 Terminated)

Virginia

Registered Investment Advisory firm - (6/5/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/31/1996

General Securities Representative Examination

Current Firm

HERITAGE WEALTH MANAGEMENT GROUP, LTD

CRD#: 148459 / SEC#: 801-120938

RIA

Registered Investment Advisory firm - (4/26/2021 Approved)

Delaware

Registered Investment Advisory firm - (6/10/2021 Terminated)

Florida

Registered Investment Advisory firm - (6/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (6/1/2021 Terminated)

Virginia

Registered Investment Advisory firm - (6/5/2021 Terminated)

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Contact information

Main Address

733 Boush Street Suite 100, Norfolk, VA 23510-1591

Mailing Address

Phone number

757-321-3725 EXT. 205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWMGROUP FORM ADV PART IIA BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts	443
AUM (Assets Under Management)	$ 124,051,923

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 C. Christie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HIGHWAY FINANCIAL NETWORKS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

HERITAGE WEALTH MANAGEMENT GROUP, LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/1997

Series 63

Date: 1/31/1997

Series 7

Date: 12/31/1996

Current Firm

HERITAGE WEALTH MANAGEMENT GROUP, LTD

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE WEALTH MANAGEMENT GROUP, LTD

TRUST BUT VERIFY

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