MC
Michael D. Charles
LIVE OAK INVESTMENT PARTNERS
Austin, TX 78746
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CRD#: 4209666
MC
Michael David CharlesLIVE OAK INVESTMENT PARTNERS
Professional summary
Michael David Charles is a registered financial advisor currently at LIVE OAK INVESTMENT PARTNERS located in Austin, Texas and DIVERSIFY ADVISORY SERVICES, LLC located in Austin, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
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) DBA - LIVE OAK INVESTMENT PARTNERS, LLC - 3103 BEE CAVE ROAD, SUITE 104, AUSTIN, TX 78746; INVESTMENT RELATED; SUPPORT STAFF FOR RIA BUSINESS; SENIOR INVESTMENT PORTFOLIO ANALYST; 100% OF TIME SPENT. 2) TEXAS INTERSCHOLASTIC SWIMMING AND DIVING OFFICIALS (TISDO) - 244 BERETTA CIRCLE, GEORGETOWN, TX 78628; NON-INVESTMENT RELATED; OFFICIATING HIGH SCHOOL SWIM MEETS; INDEPENDENT SWIM/DIVE OFFICIAL; LESS THAN 1% OF TIME SPENT. 3) GEORGETOWN HIGH SCHOOL SWIM BOOSTER CLUB - 117 VILLIAGE GIN, GEORGETOWN, TX 78633; NON-INVESTMENT RELATED; BOOSTER CLUB FOR HIGH SCHOOL SPORT TEAM; TREASURER; LESS THAN 1% OF TIME SPENT. 4) GEORGETOWN HOUSING ADVISORY BOARD - 450 WEST 8TH STREET, TX; NON-INVESTMENT RELATED; ENSURE CITY HAS AFFORDABLE HOUSING FOR RESIDENTS OF ALL INCOME LEVELS; VICE CHAIR; LESS THAN 1% OF TIME SPENT. 5) NOTARY - 3103 BEE CAVE ROAD, SUITE 104, TX - NON-INVESTMENT RELATED; NOTARY PUBLIC; NOTARIZE DOCUMENTS FOR CLIENTS; 10% OF TIME SPENT. 6) CITIY OF GEORGETOWN PLANNING AND ZONING COMMISSION - 510 W. 9TH ST, GEORGETOWN, TX 78626; NON-INVESTMENT RELATED; REVIEW OF VARIOUS TYPES OF DEVELOPMENT RELATED APPLICATIONS AND PROVIDE RECOMMENDATIONS TO CITY COUNCIL; SECRETARY; 10 HOURS PER MONTH; 1 HOUR PER MONTH DURING SECURTIES TRADING HOURS. 7) CITY OF GEORGETOWN ZONING BOARD OF ADJUSTMENT - GEORGETOWN, TX; NON-INVESTMENT RELATED; START DATE OCT. 1, 2024; SECRETARY; BOARD MAKES DECISIONS REGARDING REQUESTS FOR UDC STANDARDS AND CONSIDERS APPLICANT APPEALS; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 8) TEXAS INSURANCE LICENSE - 3103 BEE CAVE RD, SUITE 104, AUSTIN, TX 78746; START DATE JUNE 12, 2025; INVESTMENT RELATED; REVIEWING EXISTING POLICIES FOR CLIENTS; AGENT; 4 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 4 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Charles'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
October 29, 2020 - Present
LIVE OAK INVESTMENT PARTNERS
Office #1: 3103 Bee Cave Road Suite 104, Austin, TX 78746RIA
CRD#: 304406
Austin, TX
Current
July 15, 2026 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 3103 Bee Cave Road Suite 104, Austin, TX 78746-5523RIA
CRD#: 326060
AUSTIN, TX
Current
July 14, 2026 - Present
DFPG INVESTMENTS, LLC
Office #1: 3103 Bee Cave Road Suite 104, Austin, TX 78746BD
CRD#: 155576
AUSTIN, TX
Past
November 1, 2022 - July 14, 2026
KOVACK SECURITIES INC.
BD
CRD#: 44848
Austin, TX
Past
October 1, 2019 - November 15, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Austin, TX
Past
January 5, 2015 - October 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
AUSTIN, TX
Past
January 5, 2015 - October 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
AUSTIN, TX
Past
September 6, 2011 - January 20, 2015
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
AUSTIN, TX
Past
September 6, 2011 - January 20, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
AUSTIN, TX
Past
October 29, 2007 - September 19, 2011
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
AUSTIN, TX
Past
March 27, 2006 - September 19, 2011
HILLTOP SECURITIES INC.
BD
CRD#: 6220
AUSTIN, TX
Past
September 16, 2002 - April 4, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
AUSTIN, TX
Past
August 9, 2000 - April 25, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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
IAR
Texas(10/29/2020)
RR
Texas(7/15/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 Approved)Loading...
Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2026 | ||
| 09/25/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060Austin, TX 78746TRUST BUT VERIFY
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