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CG

Charles O. Gillespie

CASTLE COAST WEALTH
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 4967696
CG

Professional summary

Charles Otto Gillespie, AIF® is a registered financial advisor currently at CASTLE COAST WEALTH, LLC located in La Jolla, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Charles has worked at 5 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

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.
Independent Insurance Agent; spends less than 5% of time on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Otto Gillespie'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

April 30, 2019 - Present

CASTLE COAST WEALTH, LLC

Office #1: 4225 Executive Square Suite 1030, La Jolla, CA 92037
RIA
CRD#: 298439
La Jolla, CA
Past

January 29, 2019 - January 29, 2021

LITTON FINANCIAL

RIA
CRD#: 113063
LA JOLLA, CA
Past

May 9, 2018 - October 4, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
LA JOLLA, CA
Past

October 31, 2017 - October 4, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
LA JOLLA, CA
Past

July 2, 2012 - January 24, 2014

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
SAN DIEGO, CA
Past

March 7, 2012 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
SAN DIEGO, CA
Past

May 8, 2008 - January 15, 2014

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA

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".
CC
CASTLE COAST WEALTH, LLC
CASTLE COAST WEALTH, LLC | LITTON FINANCIAL, LLC | LITTON FINANCIAL SERVICES | LITTON FINANCIAL | GILLESPIE, CHARLES, OTTO

CRD#: 298439 / SEC#: 801-117737

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
California
Registered Investment Advisory firm - (1/8/2020 Terminated)

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
Arizona
(10/12/2021)
IAR
California
(4/30/2019)
IAR
Texas
(12/5/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/8/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/12/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/7/2008
General Securities Representative Examination

Current Firm

CC
CASTLE COAST WEALTH, LLC
CASTLE COAST WEALTH, LLC | LITTON FINANCIAL, LLC | LITTON FINANCIAL SERVICES | LITTON FINANCIAL | GILLESPIE, CHARLES, OTTO

CRD#: 298439 / SEC#: 801-117737

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
California
Registered Investment Advisory firm - (1/8/2020 Terminated)
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Contact information

Main Address
4225 Executive Square Suite 1030, La Jolla, CA 92037
Mailing Address
Phone number
(858) 546-1247
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,055
AUM (Assets Under Management)$ 412,254,172

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.

Company Information

CASTLE COAST WEALTH, LLC

CRD#: 298439La Jolla, CA 92037

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