Charles B. Davis

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CRD#: 61845

Professional summary

Charles Barnett Davis JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles Barnett Davis JR, who also goes by Charles B Davis Jr, Chuck Davis, was a registered financial advisor .

Charles is a previously registered financial advisor and started their career in finance in 1972. Charles had worked at 8 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles B Davis Jr | Chuck Davis

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.

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 14, 2012 - November 19, 2012

PEAK WEALTH GROUP LLC

RIA

CRD#: 150003

SNELLVILLE, GA

Past

December 7, 2011 - December 31, 2011

PEAK WEALTH GROUP LLC

RIA

CRD#: 150003

ST. AUGUSTINE, FL

Past

November 3, 2011 - November 19, 2012

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

SNELLVILLE, GA

Past

September 9, 2010 - November 3, 2011

CAPE INVESTMENT ADVISORY, INC.

RIA

CRD#: 146384

MCDONOUGH, GA

Past

April 15, 2010 - November 3, 2011

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

January 11, 2005 - February 24, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SNELLVILLE, GA

Past

February 13, 2004 - December 17, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SNELLVILLE, GA

Past

October 21, 1996 - February 24, 2010

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

SNELLVILLE, GA

Past

May 20, 1994 - November 6, 1996

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

September 12, 1988 - May 10, 1994

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

July 24, 1972 - July 7, 1988

SENTRY EQUITY SERVICES, INC.

CRD#: 5069

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.

Exams

State Security Law Exam

Series 63

Date: 6/10/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 7/19/1972

Registered Representative Examination

Current Firm

PEAK WEALTH GROUP LLC

NAME 904 | PEAKPORTFOLIO | PEAK WEALTH GROUP, LLC | PEAK WEALTH GROUP LLC | PEAK BROKERAGE SERVICES, LLC

CRD#: 150003 / SEC#:

Alabama

Registered Investment Advisory firm - (12/13/2013 Terminated)

Florida

Registered Investment Advisory firm - (1/23/2012 Approved)

Georgia

Registered Investment Advisory firm - (12/31/2011 Approved)

Missouri

Registered Investment Advisory firm - (2/3/2014 Approved)

North Carolina

Registered Investment Advisory firm - (9/18/2013 Approved)

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).

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Contact information

Main Address

4475 Us Hwy 1 South Suite 206, St. Augustine, FL 32086

Mailing Address

Phone number

(904) 679-4586

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 37,239,893

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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Firm Stability Insights

Charles B. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEAK WEALTH GROUP LLC

PEAK WEALTH GROUP LLC

PEAK BROKERAGE SERVICES, LLC

CAPE INVESTMENT ADVISORY, INC.

CAPE SECURITIES INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE ADVISORS GROUP, INC.

EQUITY SERVICES, INC.

SENTRY EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/2010

Series 1

Date: 7/19/1972

Current Firm

PEAK WEALTH GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH GROUP LLC

TRUST BUT VERIFY

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