Charles H. Fitzpatrick

UNITED ADVISOR GROUP

Surfside Beach, SC 29575

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CRD#: 2980286

Professional summary

Charles Howard Fitzpatrick, who also goes by Chuck Fitzpatrick, is a registered financial advisor currently at UNITED ADVISOR GROUP located in Surfside Beach, South Carolina and SILVER OAK SECURITIES, INCORPORATED located in Surfside Beach, South Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Fitzpatrick

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). "Benefit Insurance Services, Inc",Is Not Investment Related,"100 Sutter Dr, Ste 105B, Surfside Beach, SC, 29575, United States",Life and Health and Medicare sales,President,1/1/2000,40 hours per month,0 hours per month during trading hours,Salary Compensation,"Selling Medicare Supplement policies, Medicare Advantage, Prescription Drug plans, Life and ACA health insurance." 2). "Benefit Financial Services, LLC",Is Investment Related,"100 Sutter Drive, Ste 105C, Surfside Beach, SC, 29575, United States",Financial Advise,Senior Partner with wife only,1/1/2000,80 hours per month,20 hours per month during trading hours,Commission Compensation,Acquiring clients seminars paperwork study time client appointments etc 3). United Advisor Group,Is Investment Related,"100 Sutter Drive, Ste 105C, Surfside Beach, SC, 29575, United States",Independent RIA,IAR,2023-02-07,160 hours per month,130 hours per month during trading hours,Fee Based Compensation,IAR of an Independent RIA 5). The Benefitz Group (trademark),Is Not Investment Related,"100 Sutter Dr, Ste105, Surfside Beach, SC, 29575, United States",trade mark name only,owner,1/1/2021,0 hours per month,0 hours per month during trading hours,No Compensation Compensation,Trade mark name only 6). What Mortgage Fitz LLC,Is Investment Related,"100 Sutter Drive, Suite 105A, Surfside Beach, SC, 29575, United States",Home Loan Mortgage Originator,Mortgage Broker DCA,8/7/2023,25 hours per month,120 hours per month during trading hours,Commission Compensation,Find and provide Mortgages to home buyers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Howard Fitzpatrick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 5167

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".

UNITED ADVISOR GROUP

CRD#: 324205 / SEC#: 801-127090

RIA

Registered Investment Advisory firm - (1/5/2023 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.

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

New York
(2/21/2023)

North Carolina
(2/22/2023)

South Carolina
(2/21/2023)

IAR

South Carolina
(2/28/2023)

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

IAR

Series 65

Date: 12/19/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/11/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/22/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED ADVISOR GROUP

CRD#: 324205 / SEC#: 801-127090

RIA

Registered Investment Advisory firm - (1/5/2023 Approved)

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Contact information

Main Address

8170 Corporate Park Dr. Suite 300, Cincinnati, OH 45242

Mailing Address

Phone number

(888) 242-4912

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - UNITED ADVISOR GROUP (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,875
AUM (Assets Under Management)	$ 1,091,628,945

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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Firm Stability Insights

Charles H. Fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Howard Fitzpatrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

SOUTHEAST INVESTMENTS, N.C. INC

SOUTHEAST INVESTMENTS, N.C., INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

WALNUT STREET SECURITIES, INC.

MORGAN STANLEY DW INC.

SECURITIES AMERICA, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

UNITED ADVISOR GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2000

Series 63

Date: 12/29/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/20/2000

Series 6

Date: 12/11/1997

Series 24

Date: 1/22/2003

FINRA

Current Firm

UNITED ADVISOR GROUP

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITED ADVISOR GROUP

TRUST BUT VERIFY

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