CP
Charles A. Prince
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CRD#: 367939
CP
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 Augustus Prince, who also goes by Charles A Prince, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles A Prince
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.
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®
NoneExperience
Past
May 27, 2005 - October 24, 2017
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ALEXANDRIA, LA
Past
May 26, 2005 - December 31, 2017
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ALEXANDRIA, LA
Past
August 21, 1996 - May 27, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
ALEXANDRIA, LA
Past
September 9, 1992 - May 27, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 9, 1992 - May 27, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 11, 1985 - October 24, 1997
OSAIC FA, INC.
BD
CRD#: 3978
Past
August 9, 1983 - May 22, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
October 25, 1977 - October 24, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
January 10, 1977 - October 25, 1977
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
August 16, 1974 - January 10, 1977
PLA SECURITIES CORPORATION
BD
CRD#: 666
Past
May 3, 1974 - September 8, 1974
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
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
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/27/1974
Registered Representative ExaminationCurrent Firm
FSC SECURITIES CORPORATION
3GENWEALTH | SPIEGEL FINANCIAL | SMITH MURRAY WEALTH | SITZLER FINANCIAL SERVICES | SHROM ASSOCIATES | SHEA & MCMURDIE RETIREMENT | SHARP FINANCIAL SERVICES | SHARP FINANCIAL | SHAFFER FINANCIAL SERVICES | SEASONS FINANCIAL ADVISORS | SCHMOLKE INVESTMENT TEAM | ROOTED FINANCIAL GROUP | ROCKPORT WEALTH MANAGEMENT | ROBSON PLANNING GROUP | RIVERLINK ADVISORS, LLC | RIVERBEND WEALTH MANAGEMENT | RIDGEGATE INVESTMENT MANAGEMENT | RICHARD HOE INVESTMENTS, LLC | RETIRESOURCE | RETIREMENT PLANNING & INVESTMENT SERVICES | R.J. WELSCH & ASSOCIATES, INC. | PROLIFIC WEALTH | PRICE FINANCIAL GROUP | PORTER KICKHAM, INC. | PIERCE & ASSOCIATES | PHRONETIC RETIREMENT ADVISORS | PENSURE GROUP | PATEL WEALTH STRATEGIES | PARK WEALTH ADVISORS | PAOLINI ADVISORS, LLC | OPTIMIZE CAPITAL MANAGEMENT | ONLY RETIRMENT | O'QUIN FIANNCIAL GROUP | O'BRIEN PLANNING STRATEGIES | NTUNE FINANCIAL GROUP | NORTHWEST GENERAL INSURANCE AND FINANCIAL SERVICES | NETTWORTH FINANCIAL GROUP | NETTUNO WEALTH MANAGEMENT | NETTUNO GROUP | MOUNTAIN CAPITAL | MOTTAU, ICENHOWER & ASSOCIATES | MOORESTREET FINANCIAL GROUP, LLC | MILLION WEALTH MANAGEMENT | MI401K RETIREMENT PLAN CONSULTANTS | MG RETIREMENT ADVISORS | MERRITT WEALTH STRATEGIES | MEFFORD WEALTH MANAGEMENT | MCKELL FINANCIAL GROUP | MAGNOLIA CAPITAL PARTNERS | MAGELLAN INVESTMENT ADVISORY SERVICES | LUMEN FINANCIAL GROUP | LUKE FORD FINANCIAL | LOVELL WEALTH MANAGEMENT | LONE STAR WEALTH MANAGEMENT | LILY WEALTH PARTNERS | LIANG CAPITAL ADVISORS | LESHNAK WEALTH | LENZE CAPITAL | LEGACY FINANCIAL SERVICES GROUP | KRAMER WEALTH MANAGERS | KNIGHTSBRIDGE FINANCIAL | KIDDER FINANCIAL GROUP | KEYSTONE FINANCIAL GROUP | KAVOCS FINANCIAL SOLUTIONS | KALYX CAPITAL MANAGEMENT | KALIS FINANCIAL | JIL FINANCIAL SERVICES, LLC | JAMES R. K. HARDY & ASSOCIATES | JAG FINANCIAL | IRVING FAMILY RETIREMENT PLANNING | INVESTMENT CAPITAL ADVISORS | INTEGRITY WEALTH ADVANTAGE | INDEPENDENT CAPITAL MANAGEMENT | IGRYPHON CAPITAL GROUP | HUSTAD WEALTH MANAGEMENT | HPK PROVIDENT ADVISORS | HOWARD WEALTH MANAGEMENT | HONOR CAPITAL | HOLMES MANAGEMENT LLC | HELMSMAN FINANCIAL PARTNERS | HARRIS & PRATT WELATH MANAGEMENT | HANZICH CONSULTING INC. | GRYPHON WEALTH MANAGEMENT | GRYPHON INSTITUTE | GREGORY A CROSBY, CFP | GREAT LAKES 401K | GOLDMAN HARRIS PRATT & ASSOCIATES WEALTH MANAGEMENT | GOLDMAN & ASSOCIATES WEALTH MANAGEMENT | GMBP WEALTH MANAGEMENT | GEM WEALTH PLANNING GROUP | FUNKHOUSER SHAFFER FINANCIAL SERVICES | FSC SECURITIES CORPORATION | FREEDOM ONE ADVISOR GROUP | FRAMEWORK FINANCIAL PLANNING | FINANCIAL SUCCESS STRATEGIES | FINANCIAL STRATEGIES GROUP | FINANCIAL SOLUTIONS GROUP | FINANCIAL INSIGHTS | FINANCIAL INDEPENDENCE LLC | FIDUCIARYADVISOR | FEDERAL EMPLOYEE BENEFITS | FAIRWINDS WEALTH MANAGEMENT | EFC WEALTH MANAGEMENT | EBERT ASSOCIATES | DLUZAK & ASSOCIATES, INC. | DIVERSIFIED FINANCIAL GROUP | DISEKER & COMPANY | DESTINY FINANCIAL GROUP | DELLINGER WEALTH MANAGEMENT | DECILIO FINANCIAL ADVISORS | DBW FINANCIAL SERVICES | CTM FINANCIAL GROUP, INC | CROSBY, TREVINO & ASSOCIATES, LLC | CRESTAR WEALTH MANAGEMENT | CREATIVE PENSION PLANS, INC. | CORNERSTONE WEALTH MANAGEMENT | COOLEY WEALTH MANAGEMENT | CONTINUUM FINANCIAL GROUP | CONSUS WEALTH MANAGEMENT, LLC | CONSCIOUS CAPITAL LLC | CONSCIOUS CAPITAL | COMPLO FINANCIAL SERVICES | CITADEL FINANCIAL & RETIREMENT SOLUTIONS. LLC | CITADEL FINANCIAL & RETIREMENT SOLUTIONS, LLC | CHERRINGTON BROTSKY CONSCIOUS CAPITAL | CHERRINGTON BROTSKY | CENTRUY FINANCIAL ADVISORS | CENTERPOINTE ADVISERS | CEBERT WEALTH MANAGEMENT | CARROLL ENTERPRISES LLC | CAROLINA WEALTH STEWARDSHIP GROUP | CAPITAL RESOURCE MANAGEMENT | CAPITAL ASSET MANAGEMENT | BROADVIEW FINANCIAL GROUP | BRENNAN & STUART, INC. | BRAD MILLS WEALTH MANAGEMENT | BOYD INVESTMENT SERVICES | BOUNDARY ROCK FINANCIAL GROUP | BLISS FINANCIAL SERVICES | BESSELMAN WEALTH PLANNERS | BEANE ATKINSON FINANCIAL SERVICES | BDL ADVISORS, LLC | BDL ADVISORS | BANYAN, ROCK, AND TALENT WEALTH STRATEGISTS | ATS | ARCH WEALTH MANAGEMENT | ARBEITER & BADIUK | ANDERSON WEALTH ADVISORS, LLC | ANDERSON WEALTH ADVISORS | AEGIS FINANCIAL GROUP, INC. | ADVANCED TRUSTEE STRATEGIES...
CRD#: 7461 / SEC#: 801-42017, 8-21770
BD
Terminated by SEC on 01/05/2024
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Contact information
Main Address
2300 Windy Ridge Pkwy Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
+1 (800) 547-2382
Established
Delaware since 05/04/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2,174
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICE CORPORATION | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HAMEL, CYNTHIA ANN | EVP, CHIEF OPERATIONS OFFICER | 3014361 |
| HAMMOND, DORI JAMILLE | VP, CHIEF COMPLIANCE OFFICER | 3259012 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 52,792 |
| AUM (Assets Under Management) | $ 11,745,651,239 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 16 |
| Bond | 8 |
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.
