Charles H. Self

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CRD#: 5527810

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles Henry Self III, who also goes by Charles Henry Self, Chuck Henry Self III, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2009. Charles had worked at 7 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Henry Self | Chuck Henry Self Iii

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.) SUNAMERICA ANNUITY FUNDS; TRUSTEE; MUTUAL FUNDS SUPPORTING ANNUITIES; 0% FINANCIAL INTEREST; 5% OF TIME SPENT ON 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

March 7, 2022 - January 3, 2023

TANDEM WEALTH ADVISORS

RIA

CRD#: 157794

MENASHA, WI

Past

March 19, 2014 - August 25, 2021

SUMNICHT & ASSOCIATES, LLC

RIA

CRD#: 111421

APPLETON, WI

Past

March 19, 2014 - August 25, 2021

ISECTORS, LLC

RIA

CRD#: 147589

APPLETON, WI

Past

October 11, 2013 - March 7, 2014

PENSION CONSULTANTS INC

RIA

CRD#: 113914

SPRINGFIELD, MO

Past

April 25, 2011 - December 11, 2013

PARASOL INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 156074

WESTMONT, IL

Past

October 27, 2009 - October 12, 2010

ZIEGLER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135622

CHICAGO, IL

Past

June 9, 2009 - October 12, 2010

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

April 14, 2009 - October 12, 2010

B. C. ZIEGLER AND COMPANY

RIA

CRD#: 61

CHICAGO, IL

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".

TANDEM WEALTH ADVISORS

TANDEM WEALTH ADVISORS | TANDEM WEALTH ADVISORS, LLC | TANDEM WEALTH ADVISORS LLC

CRD#: 157794 / SEC#: 801-115170

RIA

Registered Investment Advisory firm - (4/26/2019 Approved)

Arizona

Registered Investment Advisory firm - (6/14/2019 Terminated)

California

Registered Investment Advisory firm - (7/14/2019 Terminated)

Colorado

Registered Investment Advisory firm - (6/20/2019 Terminated)

Florida

Registered Investment Advisory firm - (10/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (12/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (6/14/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/14/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 3/30/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/26/2009

General Securities Representative Examination

Current Firm

TANDEM WEALTH ADVISORS

TANDEM WEALTH ADVISORS | TANDEM WEALTH ADVISORS, LLC | TANDEM WEALTH ADVISORS LLC

CRD#: 157794 / SEC#: 801-115170

RIA

Registered Investment Advisory firm - (4/26/2019 Approved)

Arizona

Registered Investment Advisory firm - (6/14/2019 Terminated)

California

Registered Investment Advisory firm - (7/14/2019 Terminated)

Colorado

Registered Investment Advisory firm - (6/20/2019 Terminated)

Florida

Registered Investment Advisory firm - (10/2/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (12/11/2014 Terminated)

Ohio

Registered Investment Advisory firm - (6/14/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/17/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/14/2019 Terminated)

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Contact information

Main Address

1850 N. Central Avenue, Suite 330, Phoenix, AZ 85004

Mailing Address

Phone number

(602) 297-8600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (5/13/2025)

Regulatory assets under management

Total Number of Accounts	673
AUM (Assets Under Management)	$ 223,381,718

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 H. Self

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMNICHT & ASSOCIATES, LLC

ISECTORS, LLC

PENSION CONSULTANTS INC

PARASOL INVESTMENT MANAGEMENT, LLC

ZIEGLER CAPITAL MANAGEMENT, LLC

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

Primary Firm SEC Registration

TANDEM WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2009

Series 7

Date: 5/26/2009

Current Firm

TANDEM WEALTH ADVISORS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANDEM WEALTH ADVISORS

TRUST BUT VERIFY

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