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Charles H. Trakas

BROOKWOOD INVESTMENT GROUP
MIDDLETOWN, DE
Some features on this profile are disabled
CRD#: 3024642
CT

Professional summary

Charles Henry Trakas JR, who also goes by Charles H. Trakas Jr., is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Middletown, Delaware.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Charles has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles H. Trakas Jr.

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). TRAKAS INSURANCE AGENCY; INVESTMENT RELATED; 115 BACK CREEK DRIVE, MIDDLETOWN, DE 19709; INSURANCE AGENCY; OWNER & INSURANCE PRODUCER; SINCE 05/2020; HOURS PER MONTH: 40; HOURS DURING TRADING HOURS: 10 2). REDWOOD TAX SPECIALISTS, INVESTMENT RELATED; 19720 JETTON ROAD, 3RD FLOOR, CORNELIUS, NC 28031; INSURANCE AGENCY; MANAGING DIRECTOR SINCE 03/2020; HOURS PER MONTH: 20; TRADING HOURS: 10 3). NATIONAL GOLD CONSULTANTS; INVESTMENT RELATED; 115 BACK CREEK DRIVE, MIDDLETOWN, DE 19709; PRECIOUS METAL WHOLESALER; SALES REPRESENTATIVE; SINCE 10/2017; HOURS PER MONTH: 5; TRADING HOURS: 5

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Henry Trakas JR'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

April 7, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
MIDDLETOWN, DE
Past

July 2, 2021 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
MIDDLETOWN, DE
Past

May 9, 2016 - July 2, 2021

VIRTUE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 167816
Middletown, DE
Past

September 25, 2012 - May 10, 2016

REDHAWK WEALTH ADVISORS, INC.

RIA
CRD#: 146616
MIDDLETOWN, DE
Past

December 20, 2006 - September 20, 2012

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
WILMINGTON, DE
Past

December 5, 2006 - September 20, 2012

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
WILMINGTON, DE
Past

June 8, 2006 - December 14, 2006

EQUITY SERVICES, INC.

RIA
CRD#: 265
CHRISTINA, DE
Past

March 19, 2001 - December 14, 2006

EQUITY SERVICES, INC.

BD
CRD#: 265
CHRISTINA, DE
Past

September 12, 2000 - February 16, 2001

PNC BROKERAGE CORP

BD
CRD#: 34671
PITTSBURGH, PA
Past

March 19, 1998 - September 1, 2000

NEW ENGLAND SECURITIES

BD
CRD#: 615
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".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 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.

Highlighted states indicate IAR registrations

IAR
Delaware
(4/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)
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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (32 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

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

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

BROOKWOOD INVESTMENT GROUP

CRD#: 316544Middletown, DE

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