Charles J. Noti

LIBERTY ASSET MANAGEMENT

Allentown, PA 18103

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CRD#: 4332968

Professional summary

Charles James Noti IV is a registered financial advisor currently at LIBERTY ASSET MANAGEMENT located in Allentown, Pennsylvania and 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 4 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

June 10, 2010 - Present

LIBERTY ASSET MANAGEMENT

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

RIA

CRD#: 142094

Allentown, PA

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

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".

LIBERTY ASSET MANAGEMENT

LIBERTY ASSET MANAGEMENT | LIBERTY ASSET MANAGEMENT, LLC

CRD#: 142094 / SEC#: 801-132496

RIA

Registered Investment Advisory firm - (7/15/2025 Approved)

Louisiana

Registered Investment Advisory firm - (8/15/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2025 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.

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

Alabama
(11/17/2025)

Arizona
(12/3/2012)

California
(1/4/2019)

Florida
(1/4/2012)

Illinois
(3/5/2020)

Maine
(3/8/2017)

Maryland
(9/4/2025)

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

LIBERTY ASSET MANAGEMENT

LIBERTY ASSET MANAGEMENT | LIBERTY ASSET MANAGEMENT, LLC

CRD#: 142094 / SEC#: 801-132496

RIA

Registered Investment Advisory firm - (7/15/2025 Approved)

Louisiana

Registered Investment Advisory firm - (8/15/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/18/2025 Terminated)

Texas

Registered Investment Advisory firm - (8/15/2025 Terminated)

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Contact information

Main Address

3570 Hamilton Blvd. Suite 301, Allentown, PA 18103

Mailing Address

Phone number

(610) 398-7333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIBERTY ASSET MANAGEMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	572
AUM (Assets Under Management)	$ 136,756,000

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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Advisor Monitoring

Firm Stability Insights

Charles J. Noti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LIBERTY ASSET MANAGEMENT

APW CAPITAL, INC.

SECURIAN FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

LIBERTY ASSET MANAGEMENT

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

LIBERTY ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIBERTY ASSET MANAGEMENT

TRUST BUT VERIFY

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