Charles D. Barham

CASSIA CAPITAL PARTNERS LLC

WINSTON SALEM, NC 27101

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CRD#: 4157445

Professional summary

Charles Dewey Barham III, CFP®, who also goes by Charles Dewey Barham, Charles Dewey Barham III, is a registered financial advisor currently at CASSIA CAPITAL PARTNERS LLC located in Winston Salem, North Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Charles has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Dewey Barham | Charles Dewey Barham Iii

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.

PARTNER JC3 LLC, Winston Salem, NC 27101, PARTNERSHIP IS INVOLVED IN MULTI-TENANT OFFICE SPACE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Dewey Barham III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

August 27, 2013 - Present

CASSIA CAPITAL PARTNERS LLC

Office #1: 1144 West Fourth Street Suite 200, Winston Salem, NC 27101

RIA

CRD#: 159911

WINSTON SALEM, NC

Past

March 16, 2011 - November 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WINSTON-SALEM, NC

Past

November 24, 2010 - November 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WINSTON-SALEM, NC

Past

October 15, 2001 - April 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 27, 2000 - October 15, 2001

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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".

CASSIA CAPITAL PARTNERS LLC

CRD#: 159911 / SEC#: 801-119057

RIA

Registered Investment Advisory firm - (7/15/2020 Approved)

Illinois

Registered Investment Advisory firm - (11/10/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (8/3/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/20/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/27/2013)

IAR

Texas
(6/7/2019)

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 66

Date: 3/15/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/7/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/23/2010

General Securities Representative Examination

Current Firm

CASSIA CAPITAL PARTNERS LLC

CRD#: 159911 / SEC#: 801-119057

RIA

Registered Investment Advisory firm - (7/15/2020 Approved)

Illinois

Registered Investment Advisory firm - (11/10/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (8/3/2020 Terminated)

Texas

Registered Investment Advisory firm - (7/20/2020 Terminated)

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Contact information

Main Address

1144 West Fourth Street Suite 200, Winston Salem, NC 27101

Mailing Address

Phone number

(336) 723-4585

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASSIA DISCLOSURE BROCHURE (7/1/2025)

Regulatory assets under management

Total Number of Accounts	496
AUM (Assets Under Management)	$ 205,995,647

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 D. Barham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Dewey Barham III's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

CASSIA CAPITAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2011

Series 63

Date: 8/7/2000

Series 7

Date: 11/23/2010

Current Firm

CASSIA CAPITAL PARTNERS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASSIA CAPITAL PARTNERS LLC

TRUST BUT VERIFY

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