Charles W. Ready

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CRD#: 371988

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 William Ready, who also goes by Charles W Ready, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1962. Charles had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles W Ready

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) 07/01/2013 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-NOTARY - 1% OF TIME SPENT - RARELY USED. 2) 4/25/2018 - Aspen Wealth Management Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/2018 - 100 Hours Per Month/5 Hours During Trading. 3) 4/25/2018 - GPS Wealth Strategies Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 1/2018 - 60 Hours Per Month/3 Hours During Trading - I provide investment advisory services through GPS Wealth Strategies Group, an independent investment advisor firm. I started this business activity in 1/2018 . I expect to spend approximately 60 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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 2, 2018 - February 13, 2023

GPS WEALTH STRATEGIES GROUP, LLC

RIA

CRD#: 285507

Pueblo, CO

Past

January 1, 1999 - December 19, 2017

CHARLES W. READY FINANCIAL SERVICES

RIA

CRD#: 121515

PUEBLO, CO

Past

January 1, 1999 - June 18, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

PUEBLO, CO

Past

July 1, 1988 - February 27, 2023

LPL FINANCIAL LLC

CRD#: 6413

PUEBLO, CO

Past

May 14, 1988 - July 19, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 1, 1977 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 26, 1976 - November 11, 1977

BOSWORTH SULLIVAN & COMPANY INCORPORATED

CRD#: 103

Past

October 29, 1962 - September 9, 1976

BOETTCHER & COMPANY, INC.

CRD#: 101

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".

GPS WEALTH STRATEGIES GROUP, LLC

CRD#: 285507 / SEC#: 801-108848

RIA

Registered Investment Advisory firm - (1/3/2017 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

Series 63

Date: 12/7/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 10/30/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 8/11/1971

General Securities Principal Examination

Current Firm

GPS WEALTH STRATEGIES GROUP, LLC

CRD#: 285507 / SEC#: 801-108848

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

6484 South Quebec Street, Centennial, CO 80111

Mailing Address

Phone number

(720) 414-5412

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	5,385
AUM (Assets Under Management)	$ 1,415,526,316

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 W. Ready

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES W. READY FINANCIAL SERVICES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

BOSWORTH SULLIVAN & COMPANY INCORPORATED

BOETTCHER & COMPANY, INC.

Primary Firm SEC Registration

GPS WEALTH STRATEGIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/1983

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 9/1/1977

Series 1

Date: 10/30/1960

Series 24

Date: 7/20/1988

Series 00

Date: 8/11/1971

Current Firm

GPS WEALTH STRATEGIES GROUP, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GPS WEALTH STRATEGIES GROUP, LLC

TRUST BUT VERIFY

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