Charles W. Wolfe

OSAIC WEALTH

NAPLES, FL 34108

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CRD#: 4974556

Professional summary

Charles Wren Wolfe JR, who also goes by Chuck Wolfe, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Naples, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Charles has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck Wolfe

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 W. WOLFE, JR. 999 VANDERBILT BEACH ROAD STE 340, 338, 355 NAPLES, FL 34108 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: SELF DUTIES: SALE AND SERVICE OF ACCIDENT AND HEALTH INSURANCE, FIXED ANNUITIES, TRADITIONAL LIFE INSURANCE. START DATE: 04/2023 HOURS PER MONTH: 50 HOURS PER MONTH DURING TRADING HOURS: 50 2) CHUCK WOLFE/PBCA 999 VANDERBILT BEACH ROAD STE 340, 338, 355 NAPLES, FL 34108 CATEGORY: CONSULTING INVESTMENT-RELATED: NO TITLE: OWNER DUTIES: EXECUTIVE COACHING OF BUSINESS OWNERS. START DATE: 04/2023 HOURS PER MONTH: 12 HOURS PER MONTH DURING TRADING HOURS: 10 3) HERITAGE FINANCIAL CONSULTANTS, LLC POSITION: Agent/Financial Planner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2025 ADDRESS: 999 Vanderbilt Beach Rd, Suite 340, Naples FL 34108, United States DESCRIPTION: Comprehensive Financial Planning primarily for Families

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Wren Wolfe JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Charles Wren Wolfe JR'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

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 999 Vanderbilt Beach Road Suite #340, Naples, FL 34108

RIA

CRD#: 23131

NAPLES, FL

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 999 Vanderbilt Beach Road Suite #340, Naples, FL 34108

RIA

CRD#: 23131

NAPLES, FL

Past

May 25, 2023 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

NAPLES, FL

Past

May 25, 2023 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

NAPLES, FL

Past

December 15, 2015 - June 27, 2023

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Bonita Beach, FL

Past

March 10, 2006 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

Bonita Beach, FL

Past

September 19, 2005 - June 27, 2023

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Bonita Beach, FL

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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

Connecticut
(1/24/2025)

Florida
(1/24/2025)

IAR

Florida
(1/24/2025)

Georgia
(1/24/2025)

Kentucky
(1/24/2025)

Maryland
(1/24/2025)

New York
(1/24/2025)

North Carolina
(1/24/2025)

Ohio
(1/24/2025)

Oklahoma
(1/24/2025)

Tennessee
(1/24/2025)

Texas
(1/24/2025)

IAR

Texas
(1/24/2025)

Virginia
(1/24/2025)

Wisconsin
(1/24/2025)

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

Series 63

Date: 10/12/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/30/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/16/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/29/2015

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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 W. Wolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Wren Wolfe JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Charles Wren Wolfe JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FA, INC.

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/2009

Series 65

Date: 11/30/2005

SIE

Date: 10/1/2018

Series 6

Date: 9/16/2005

Series 26

Date: 9/29/2015

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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