CD
Charles W. Diehl
TOUCHSTONE ADVISORS
Louisville, KY
Some features on this profile are disabled
CRD#: 3174566
CD
Professional summary
Charles William Diehl III, who also goes by Bill Diehl III, Bill Diehl, Charles W Diehl, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Louisville, Kentucky and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Diehl Iii | Bill Diehl | Charles W Diehl
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) Name: Western Southern Financial Group (WSFG). Investment related: No. Address: 400 Broadway St Cincinnati Oh 45202. Nature: Audio/Video Delivery. Position/Relationship: Audio/Video Deliverer. Start Date: 3/22/22. Appr # of hours/month: 0-4. Appr # of hours/month during securities trading hours: 0-4. Duties: Creating video audio content for WSFG. 2) Charles W Diehl III; Not investment related; PO Box 43536 Louisville, KY 40253; Rental property; position/title: Sole Owner; Start date: 11/17/23; 2-3 hours/Month; 0 during securities trading hours; Duties: will be reviewing financial statements monthly and writing checks to pay bill. Property will be managed by an outside company. // Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee.
CRS (Client Relationship Summary) - RIA
Click below to view Charles William Diehl III'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
May 25, 2016 - Present
TOUCHSTONE ADVISORS INC
RIA
CRD#: 107028
Louisville, KY
Current
November 26, 2001 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
December 14, 2005 - December 31, 2014
TOUCHSTONE ADVISORS INC
RIA
CRD#: 107028
CINCINNATI, OH
Past
March 17, 1999 - June 4, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 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(3/26/2012)
RR
Arkansas(4/30/2019)
RR
California(3/26/2012)
RR
District of Columbia(3/26/2012)
RR
Florida(3/26/2012)
RR
Georgia(3/26/2012)
RR
Illinois(2/17/2012)
RR
Indiana(8/31/2005)
RR
Iowa(3/26/2012)
RR
Kansas(3/26/2012)
RR
Kentucky(1/14/2002)
RR
Louisiana(2/17/2012)
RR
Maryland(3/26/2012)
RR
Michigan(8/31/2005)
RR
Minnesota(3/26/2012)
RR
Missouri(3/26/2012)
RR
Nevada(1/3/2014)
RR
New Jersey(6/15/2015)
RR
North Carolina(2/17/2012)
RR
Ohio(8/31/2005)
IAR
Ohio(5/25/2016)
RR
Pennsylvania(2/10/2006)
RR
South Carolina(2/17/2012)
RR
Tennessee(6/11/2003)
RR
Texas(3/26/2012)
RR
Virginia(4/28/2015)
RR
West Virginia(2/17/2012)
RR
Wisconsin(3/26/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202-4203
Mailing Address
Phone number
(513) 362-8000
Established
Firm type
Fiscal year end
# of Employees
83
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 29,132,797,072 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
