Charles J. Noti

APW CAPITAL

Allentown, PA 18103

Some features on this profile are disabled

CRD#: 4332968

Professional summary

Charles James Noti IV is a registered financial advisor currently at APW CAPITAL, INC. located in Allentown, Pennsylvania.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Charles has worked at 3 firms and has passed the Series 65, Series 63, 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. Charles Noti, CPA;Hartfield PA;NON-INVST RLTD; Title: Sole Proprietor; Start Date: 1/1/2010; Duties: CPA; Time Devoted: 10 hrs/month 2. A-TOWN;ALLENTOWN PA;NON INVST RLTD;PROPERTY MGMT;CONTROLLER FOR BUSINESS INCLUDING BOOKKEEPING AND TAX RESP;EMPLOYEE;2/92-ONGOING;10HRS/MTH;0 TRADING HRS. 3. LIBERTY WEALTH MGMT., ALLENTOWN, PA, FIXED INSURANCE SALES, WEALTH ADVISOR-SALES, 5% TIME SPENT, COMMISSION COMPENSATION. 4. Liberty Asset Management; Allenttown, PA; RIA and investment related; Services: investment planning, placing trades; Duties: advisory services; Title: Registered Investment Advisor; Time spent: 85%; Compensation: management fees.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles James Noti IV'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®

None

Experience

Current

February 8, 2010 - Present

APW CAPITAL, INC.

Office #1: 3570 Hamilton Boulevard, Suite 301, Allentown, PA 18103

CRD#: 43814

Allentown, PA

Past

March 15, 2004 - February 25, 2010

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

COOPERSBURG, PA

Past

December 18, 2003 - March 11, 2004

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

FOGELSVILLE, PA

Past

January 12, 2001 - March 11, 2004

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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.

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

Arizona
(12/3/2012)

California
(1/4/2019)

Florida
(1/4/2012)

Illinois
(3/5/2020)

Maine
(3/8/2017)

Maryland
(9/4/2025)

Massachusetts
(3/8/2017)

New Jersey
(1/4/2019)

New York
(1/4/2012)

North Carolina
(1/2/2018)

Pennsylvania
(2/8/2010)

IAR

Pennsylvania
(6/10/2010)

South Carolina
(6/28/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/20/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APW CAPITAL, INC.

APW CAPITAL, INC. | COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC.

CRD#: 43814 / SEC#: , 8-50433

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

100 Enterprise Drive, Suite 504, Rockaway, NJ 07866

Mailing Address

100 Enterprise Drive, Suite 504, Rockaway, NJ 07866

Phone number

(973) 394-0404

Established

New Jersey since 07/03/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SMITH, TIMOTHY LIAM	PRESIDENT & FINOP	1407004
JENNINGS, CHRISTINA	SHAREHOLDER	4360546
COUTANT, TONYA MARIE	CHIEF COMPLIANCE OFFICER	4585494
JENNINGS, SEAN	SHAREHOLDER

Disclosures

Regulatory Event	2
Arbitration	1

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.

Similar Advisors

Gregory Holland

O'HAGAN GROUP, INC.

IAR

Bethlehem, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles J. Noti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles James Noti IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/20/2004

Series 63

Date: 1/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2001

FINRA

Current Firm

APW CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

APW CAPITAL, INC.

TRUST BUT VERIFY

Similar Advisors