CE
Charles B. Elliott
FINANCIAL MANAGEMENT STRATEGIES
Broadview Hts., OH 44147
Some features on this profile are disabled
CRD#: 4069269
CE
Professional summary
Charles Brian Elliott is a registered financial advisor currently at FINANCIAL MANAGEMENT STRATEGIES, INC. located in Broadview Hts., Ohio and CETERA WEALTH SERVICES, LLC located in Broadview Heights, Ohio.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Charles has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NAME OF OTHER BUSINESS: FINANCIAL MANAGEMENT STRATEGIES, INC CRD#120818; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY SERVICES; POSITION/TITLE/RELATIONSHIP: CO-OWNER / INVESTMENT ADVISORY REPRESENTATIVE; START DATE: 01/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/14/2024; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Charles Brian Elliott'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
January 3, 2012 - Present
FINANCIAL MANAGEMENT STRATEGIES, INC.
Office #1: 9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147RIA
CRD#: 120818
Broadview Hts., OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 9200 South Hills Blvd Ste 310, Broadview Heights, OH 44147BD
CRD#: 13572
Broadview Heights, OH
Past
February 22, 2002 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
VALLEY VIEW, OH
Past
February 7, 2000 - December 7, 2001
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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".
FM
FINANCIAL MANAGEMENT STRATEGIES, INC.
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
RIA
Registered Investment Advisory firm - (5/17/2006 Approved)Ohio
Registered Investment Advisory firm - (11/7/2006 Terminated)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
California(10/24/2025)
RR
Indiana(8/27/2024)
RR
Maryland(10/23/2025)
RR
Mississippi(8/27/2024)
RR
Nevada(7/2/2025)
RR
New York(8/27/2024)
IAR
Ohio(1/3/2012)
RR
Ohio(1/2/2014)
RR
Texas(10/30/2024)
IAR
Texas(10/31/2024)
RR
Washington(4/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FM
FINANCIAL MANAGEMENT STRATEGIES, INC.
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
RIA
Registered Investment Advisory firm - (5/17/2006 Approved)Ohio
Registered Investment Advisory firm - (11/7/2006 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9200 South Hills Blvd. Suite 310, Broadview Hts., OH 44147
Mailing Address
Phone number
(216) 642-1099
Established
Firm type
Fiscal year end
# of Employees
34
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,776 |
| AUM (Assets Under Management) | $ 619,530,659 |
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.
