Charles V. Kimmel

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CRD#: 5567461

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 Victor Kimmel III, CFP®, who also goes by Charles VIctor Kimmel, Chuck Victor Kimmel, Chuck Kimmel, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2008. Charles had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Victor Kimmel | Chuck Victor Kimmel | Chuck Kimmel

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)Name of Business: SPC Financial, Inc. Address: 3202 Tower Oaks Blvd Suite 400, Rockville, MD 20852, Rockville, MD, 20852, United States Activity Type: Independent RIA Position/Title: Associate/Employee Investment Related: Yes Start Date: 07/22/2009 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Employee

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®

CFP^®

Certified Financial Planner

Experience

Past

June 4, 2013 - September 15, 2023

SPC FINANCIAL INC

RIA

CRD#: 104618

ROCKVILLE, MD

Past

July 22, 2009 - September 5, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ROCKVILLE, MD

Past

July 25, 2008 - June 26, 2009

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

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".

SPC FINANCIAL INC

CRD#: 104618 / SEC#: 801-14191

RIA

Registered Investment Advisory firm - (11/30/1978 Approved)

Maryland

Registered Investment Advisory firm - (12/12/2017 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

Series 63

Date: 8/8/2008

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: 7/24/2008

General Securities Representative Examination

Current Firm

SPC FINANCIAL INC

CRD#: 104618 / SEC#: 801-14191

RIA

Registered Investment Advisory firm - (11/30/1978 Approved)

Maryland

Registered Investment Advisory firm - (12/12/2017 Terminated)

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Contact information

Main Address

3202 Tower Oaks Blvd Suite 400, Rockville, MD 20852-4219

Mailing Address

Phone number

(301) 770-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC PART 2A, FORM ADV FIRM BROHURE - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,180
AUM (Assets Under Management)	$ 1,392,088,059

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
03/25/2025	Cover Page	Report
10/01/2024	Cover Page	Report
07/30/2024	Cover Page	Report
04/10/2023	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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Charles V. Kimmel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPC FINANCIAL INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

NORTHERN LIGHTS DISTRIBUTORS, LLC

Primary Firm SEC Registration

SPC FINANCIAL INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2008

Current Firm

SPC FINANCIAL INC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SPC FINANCIAL INC

TRUST BUT VERIFY

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