Charles L. Nedele

THEORY FINANCIAL

LAKEWOOD, CO 80226

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CRD#: 5030870

Professional summary

Charles Leland Nedele, who also goes by Chas Nedele, is a registered financial advisor currently at THEORY FINANCIAL located in Lakewood, Colorado.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. 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

Chas Nedele

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.

Short-term rental property, not investment-related, Angola, IN. Owner, Start Date: 4/1/22, approximately 10 hours per month, 2 hours per month during securities trading hours. General duties related to the ownership and management of vacation rental property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Leland Nedele'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 15, 2021 - Present

THEORY FINANCIAL

Office #1: 355 S Teller St Suite 200, Lakewood, CO 80226

RIA

CRD#: 304084

LAKEWOOD, CO

Past

June 25, 2012 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

February 9, 2007 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

November 10, 2005 - February 23, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, 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".

THEORY FINANCIAL

THEORY FINANCIAL | THEORY FINANCIAL LLC

CRD#: 304084 / SEC#: 801-122366

RIA

Registered Investment Advisory firm - (9/22/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/4/2021 Terminated)

Wyoming

Registered Investment Advisory firm - (10/4/2021 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/15/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2007

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: 11/9/2005

General Securities Representative Examination

Current Firm

THEORY FINANCIAL

THEORY FINANCIAL | THEORY FINANCIAL LLC

CRD#: 304084 / SEC#: 801-122366

RIA

Registered Investment Advisory firm - (9/22/2021 Approved)

Colorado

Registered Investment Advisory firm - (10/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/4/2021 Terminated)

Wyoming

Registered Investment Advisory firm - (10/4/2021 Terminated)

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Contact information

Main Address

2580 Harmony Road, Suite 201, Fort Collins, CO 80528

Mailing Address

Phone number

(970) 305-4649

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

THEORY FINANCIAL ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	625
AUM (Assets Under Management)	$ 282,840,843

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 L. Nedele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Leland Nedele's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

THEORY FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2011

Series 63

Date: 3/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

Current Firm

THEORY FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THEORY FINANCIAL

TRUST BUT VERIFY

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