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CW

Charles P. Walsh

Some features on this profile are disabled
CRD#: 2832716
CW

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 Paul Walsh, CFP®, who also goes by Charles P Walsh, Charles Paul Walsh, Chuck Walsh, Charles Walsh, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1996. Charles had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles P Walsh | Charles Paul Walsh | Chuck Walsh | Charles Walsh

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®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Past

November 16, 2025 - April 1, 2026

ADAMS WEALTH ADVISORS

RIA
CRD#: 286087
LOGAN, UT
Past

August 29, 2025 - September 19, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Parker, CO
Past

August 29, 2025 - September 19, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN
Past

December 6, 2018 - July 16, 2025

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past

December 6, 2018 - July 16, 2025

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 2, 2007 - October 30, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
DENVER, CO
Past

June 21, 2004 - October 30, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

November 16, 2001 - December 12, 2002

COMPUTERSHARE SECURITIES CORPORATION

BD
CRD#: 107023
CHICAGO, IL
Past

December 18, 1996 - November 6, 2001

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".
AW
ADAMS WEALTH ADVISORS
ADAMS INVESTMENT MANAGEMENT | CACHETECH | AIM VENTURA CAPITAL | ADAMS WEALTH MANAGEMENT LLC | ADAMS WEALTH ADVISORS

CRD#: 286087 / SEC#: 801-110862

RIA
Registered Investment Advisory firm - (7/24/2017 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/1/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/8/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/24/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

AW
ADAMS WEALTH ADVISORS
ADAMS INVESTMENT MANAGEMENT | CACHETECH | AIM VENTURA CAPITAL | ADAMS WEALTH MANAGEMENT LLC | ADAMS WEALTH ADVISORS

CRD#: 286087 / SEC#: 801-110862

RIA
Registered Investment Advisory firm - (7/24/2017 Approved)
PREMIUM
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Contact information

Main Address
701 S Main Suite #400, Logan, UT 84321
Mailing Address
Phone number
(435) 752-1702
Established
Firm type
Fiscal year end
# of Employees
26

SEC notice filing (9 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

ADAMS WEALTH MANAGEMENT, LLC ADV PART 2A BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts717
AUM (Assets Under Management)$ 709,063,569

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

ADAMS WEALTH ADVISORS

CRD#: 286087

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