Charles R. Maki

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CRD#: 317670

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 Robert Maki was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 4 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

January 5, 1998 - January 5, 2022

WASHINGTON CAPITAL MANAGEMENT INC

RIA

CRD#: 105253

SEATTLE, WA

Past

September 26, 1978 - December 31, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 26, 1974 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

August 1, 1969 - December 26, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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".

WASHINGTON CAPITAL MANAGEMENT INC

COMPASS GROUP | WASHINGTON CAPITAL MANAGEMENT INC

CRD#: 105253 / SEC#: 801-14263

RIA

Registered Investment Advisory firm - (10/1/1978 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.

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: 12/17/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 11/30/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 7/22/1969

Registered Representative Examination

Current Firm

WASHINGTON CAPITAL MANAGEMENT INC

COMPASS GROUP | WASHINGTON CAPITAL MANAGEMENT INC

CRD#: 105253 / SEC#: 801-14263

RIA

Registered Investment Advisory firm - (10/1/1978 Approved)

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Contact information

Main Address

1200 6th Ave Suite 700, Seattle, WA 98101-3123

Mailing Address

Phone number

(206) 382-0825

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WASHINGTON CAPITAL MANAGEMENT, INC. ADV PART 2A_2025-06 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	248
AUM (Assets Under Management)	$ 7,058,054,632

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/18/2024	Cover Page	Report
02/27/2023	Cover Page	Report

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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Charles R. Maki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

Primary Firm SEC Registration

WASHINGTON CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1997

Series 63

Date: 10/3/1988

Series 5

Date: 11/30/1981

PC

Date: 9/8/1977

Series 1

Date: 7/22/1969

Current Firm

WASHINGTON CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WASHINGTON CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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