CM
Charles B. Mathes
VICTORY CAPITAL MANAGEMENT
San Antonio, TX 78256
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CRD#: 5980160
CM
Professional summary
Charles B Mathes, who also goes by Charlie B. Mathes, is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in San Antonio, Texas and VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Charles has worked at 5 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie B. Mathes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Charles B Mathes'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®
NoneExperience
Current
July 6, 2022 - Present
VICTORY CAPITAL MANAGEMENT INC.
Office #1: 15935 La Cantera Pkwy, San Antonio, TX 78256RIA
CRD#: 106189
San Antonio, TX
Current
June 30, 2022 - Present
VICTORY CAPITAL SERVICES, INC.
Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256BD
CRD#: 37059
San Antonio, TX
Past
March 28, 2025 - August 25, 2025
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
April 30, 2018 - June 24, 2022
H & L EQUITIES, LLC
BD
CRD#: 113794
Atlanta, GA
Past
March 15, 2012 - May 1, 2018
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
November 5, 2011 - May 1, 2018
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 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
Texas(6/30/2022)
IAR
Texas(7/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS
CRD#: 106189 / SEC#: 801-46878
RIA
Registered Investment Advisory firm - (5/10/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,566 |
| AUM (Assets Under Management) | $ 152,291,202,954 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
