CW
Charlotte N. Williams
FORGE FINANCIAL
Edmond, OK 73013
Some features on this profile are disabled
CRD#: 4107934
CW
Professional summary
Charlotte Nanette Williams, who also goes by Charlotte N. Reed, Charlotte Nanette Reed, Charlotte Nanette Shaw, Charlotte N. Shaw, Charlotte N. Williams, Charlotte Williams, is a registered financial advisor currently at FORGE FINANCIAL located in Edmond, Oklahoma and LPL FINANCIAL LLC located in Edmond, Oklahoma.
Charlotte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Charlotte has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlotte N. Reed | Charlotte Nanette Reed | Charlotte Nanette Shaw | Charlotte N. Shaw | Charlotte N. Williams | Charlotte Williams
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. 11/16/2022 - Boutique Hotel - Investment Related - Roatan Honduras - Real Estate Rental - 10/15/2022 - 2 Hours Per Month/2 Hours During Securities Trading 2. 01/09/2024 - Forge Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/09/2024 - Time Spent 100%. 3. 01/09/2024 - Forge Financial Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 02/03/2020 - 160 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Forge Financial Services, LLC, an independent investment advisor firm. I started this business activity in 2/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's 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. 4. 01/09/2024 - Forge Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 02/03/2020 - 160 Hours Per Month/120 Hours During Securities Trading. 5. 03/28/2024 - CCR Properties, LLC - Real Estate Rental - Investment Related - Edmond, OK - Start Date 01/20/2023 - 1 Hour Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Charlotte Nanette Williams'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 15, 2020 - Present
FORGE FINANCIAL
Office #1: 2901 South Bryant Avenue, Edmond, OK 73013RIA
CRD#: 306480
Edmond, OK
Current
June 24, 2013 - Present
LPL FINANCIAL LLC
Office #1: 2901 S Bryant Ave, Edmond, OK 73013-6167RIA
BD
CRD#: 6413
Edmond, OK
Past
June 24, 2013 - September 21, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
EDMOND, OK
Past
January 12, 2009 - June 27, 2013
OSAIC FS, INC.
RIA
CRD#: 3870
EDMOND, OK
Past
January 5, 2009 - June 27, 2013
OSAIC FS, INC.
BD
CRD#: 3870
EDMOND, OK
Past
January 30, 2003 - January 9, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EDMOND, OK
Past
June 18, 2002 - January 9, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EDMOND, OK
Past
May 18, 2000 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
OKLAHOMA CITY, OK
Past
February 10, 2000 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
FF
FORGE FINANCIAL
FORGE FINANCIAL | SHAW FINANCIAL SERVICES, LLC | SHAW FINANCIAL SERVICES | FORGE FINANCIAL SERVICES, LLC
CRD#: 306480 / SEC#: 801-117938
RIA
Registered Investment Advisory firm - (1/15/2020 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
Alabama(6/24/2013)
RR
Alaska(7/22/2013)
RR
Arizona(7/22/2013)
RR
Arkansas(6/24/2013)
RR
California(6/24/2013)
RR
Colorado(6/24/2013)
RR
Connecticut(4/7/2020)
RR
District of Columbia(1/11/2023)
RR
Florida(6/24/2013)
RR
Georgia(7/22/2013)
RR
Hawaii(10/6/2015)
RR
Idaho(7/20/2021)
RR
Illinois(7/16/2013)
RR
Indiana(6/24/2013)
RR
Iowa(7/22/2013)
RR
Kansas(6/24/2013)
RR
Kentucky(7/10/2018)
RR
Louisiana(6/24/2013)
RR
Maine(11/8/2022)
RR
Maryland(6/11/2019)
RR
Massachusetts(10/11/2021)
RR
Michigan(7/22/2013)
RR
Minnesota(6/24/2013)
RR
Mississippi(3/13/2017)
RR
Missouri(7/19/2013)
RR
Montana(6/24/2013)
RR
Nebraska(7/22/2013)
RR
New Jersey(1/10/2022)
RR
New Mexico(6/24/2013)
RR
New York(7/22/2013)
RR
North Carolina(7/22/2013)
RR
Ohio(9/25/2015)
RR
Oklahoma(6/24/2013)
IAR
Oklahoma(1/15/2020)
RR
Oregon(1/8/2014)
RR
Pennsylvania(9/24/2015)
RR
South Carolina(6/24/2013)
RR
South Dakota(3/10/2014)
RR
Tennessee(9/23/2013)
RR
Texas(6/24/2013)
IAR
Texas(1/15/2020)
RR
Virginia(6/24/2013)
RR
Washington(6/24/2013)
RR
West Virginia(11/17/2023)
RR
Wisconsin(8/15/2018)
RR
Wyoming(7/22/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORGE FINANCIAL
FORGE FINANCIAL | SHAW FINANCIAL SERVICES, LLC | SHAW FINANCIAL SERVICES | FORGE FINANCIAL SERVICES, LLC
CRD#: 306480 / SEC#: 801-117938
RIA
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Contact information
Main Address
2901 South Bryant Avenue, Edmond, OK 73013
Mailing Address
Phone number
(405) 340-1600
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,594 |
| AUM (Assets Under Management) | $ 1,201,557,311 |
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.
Company Information
FORGE FINANCIAL
CRD#: 306480Edmond, OK 73013TRUST BUT VERIFY
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