Charles C. Smith
KESTRA PRIVATE WEALTH SERVICES
Greenville, SC 29601
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CRD#: 5047699
Professional summary
Charles Clarke Smith, CFP®, who also goes by C Clarke Smith, Clarke Smith, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Greenville, South Carolina and KESTRA INVESTMENT SERVICES, LLC located in Greenville, South Carolina.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Charles has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C Clarke Smith | Clarke Smith
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.
Name: CLARKE SMITH POSITION: Owner NATURE: RV Rental INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/21/2022 ADDRESS: 411 Spring Meadow Rd, Simpsonville SC 29680 DESCRIPTION: preparing the trailer for rental, educating renters on operating, towing, and cleaning the trailer. Name: CARIBOU POSITION: Advisor NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 4 START DATE: 04/03/2023 ADDRESS: 40 W Broad St, Ste 510, Greenville SC 29601, United States DESCRIPTION: I will get the client set up with Caribou Wealth where the client will complete a questionnaire and then we will receive a health insurance analysis and comparison between different options and providers so the client will be better informed with their options. I will not be selling the insurance, the client will then have to go find an agent who can establish that health insurance plan for them.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Clarke Smith's 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®
CFP®
Start date: 2021
Experience
Current
May 4, 2022 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 116 N Markley Street Ste 200, Greenville, SC 29601RIA
CRD#: 155193
Greenville, SC
Current
May 4, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 40 W Broad Street Ste 510, Greenville, SC 29601BD
CRD#: 42046
Greenville, SC
Past
July 2, 2008 - May 11, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREENVILLE, SC
Past
June 26, 2008 - May 11, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GREENVILLE, SC
Past
January 8, 2008 - April 25, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
TAYLOR, SC
Past
December 13, 2007 - April 25, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
TAYLOR, SC
Past
March 17, 2006 - December 17, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GREENVILLE, SC
Past
March 17, 2006 - December 17, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GREENVILLE, SC
Past
February 21, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
GREENVILLE, SC
Past
February 2, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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.RR
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
RR
Alaska(1/2/2024)
RR
Colorado(2/24/2025)
RR
Florida(5/4/2022)
RR
Georgia(5/4/2022)
RR
Illinois(2/24/2025)
RR
Indiana(2/24/2025)
RR
Kentucky(2/24/2025)
RR
Maryland(2/24/2025)
RR
Michigan(1/2/2024)
RR
Mississippi(2/24/2025)
RR
New Jersey(1/2/2024)
RR
New York(2/24/2025)
RR
North Carolina(5/16/2022)
RR
Ohio(1/2/2024)
RR
South Carolina(5/4/2022)
IAR
South Carolina(5/4/2022)
RR
Tennessee(5/4/2022)
RR
Texas(8/7/2025)
IAR
Texas(8/7/2025)
RR
Virginia(11/15/2023)
RR
Washington(1/2/2024)
RR
West Virginia(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Greenville, SC 29601TRUST BUT VERIFY
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