Charles O. Boneck

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CRD#: 4683220

Professional summary

Charles Oscar Boneck was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Charles had worked at 8 firms, which includes ALAMO CAPITAL, SECURITIES AMERICA INC., AMERIPRISE FINANCIAL SERVICES LLC, FIRST REPUBLIC WEALTH ADVISORS LLC, FIRST REPUBLIC SECURITIES COMPANY LLC, KOVACK ADVISORS INC., KOVACK SECURITIES INC., MML INVESTORS SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Oscar Boneck Jr.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 5, 2009 - July 2, 2010

ALAMO CAPITAL

RIA

CRD#: 26193

WALNUT CREEK, CA

Past

October 5, 2009 - July 2, 2010

ALAMO CAPITAL

CRD#: 26193

WALNUT CREEK, CA

Past

March 17, 2009 - August 13, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

WALNUT CREEK, CA

Past

October 28, 2008 - July 20, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WALNUT CREEK, CA

Past

October 24, 2008 - July 20, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WALNUT CREEK, CA

Past

February 6, 2007 - September 24, 2008

FIRST REPUBLIC WEALTH ADVISORS, LLC

RIA

CRD#: 132035

SAN FRANCISCO, CA

Past

November 17, 2006 - September 24, 2008

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, CA

Past

August 15, 2006 - November 20, 2006

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

March 8, 2005 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

ORINDA, CA

Past

March 8, 2005 - December 19, 2006

KOVACK SECURITIES INC.

CRD#: 44848

ORINDA, CA

Past

August 12, 2003 - March 9, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ORINDA, CA

Past

July 24, 2003 - March 9, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/25/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/23/2003

General Securities Representative Examination

Current Firm

ALAMO CAPITAL

A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: , 8-42293

California

Registered Investment Advisory firm - SEC (1/2/2002 Approved)

Nevada

Registered Investment Advisory firm - SEC (12/29/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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).

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Contact information

Main Address

201 N Civic Dr #180, Walnut Creek, CA 94596-3761

Mailing Address

201 N Civic Dr Suite 180, Walnut Creek, CA 94596

Phone number

(925) 472-5740

Established

California since 08/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MULLALLY, NANCY ANN RUEHLE	CEO	1004052
MULLALLY, NANCY ANN RUEHLE	CFO	1004052
DURDEN JR, JOHN KENNETH	FINOP	860423
KENT-ASTER, ALLISON VICTORIA	CCO	2047679
MULLALLY, WILLIAM JOHN	PRESIDENT	818827

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 81,684,700

Disclosures

Regulatory Event	3
Bond	3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Charles O. Boneck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALAMO CAPITAL

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIRST REPUBLIC WEALTH ADVISORS, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2003

Series 7

Date: 7/23/2003

Current Firm

ALAMO CAPITAL

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALAMO CAPITAL

TRUST BUT VERIFY

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